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Current Investigations

Aug 14
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Peter Klaass Resigns From Cetera Advisor Networks

By Oakes & Fosher Current Investigations No Comments
Oakes & Fosher is presently investigating the possible misconduct of former securities broker Peter Klaass. According to his publicly, available FINRA BrokerCheck report, Peter Klaass has been the subject of…
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Aug 14
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Justin Fletchall Allegedly Over-Concentrates A Customer’s Account In Unsuitable Puerto Rico Bonds

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the possible misconduct of securities broker Justin Fletchall. According to his publicly available FINRA BrokerCheck report, Justin Fletchall has been…
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Aug 13
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Mid Atlantic Capital Allowed Brokers To Create And Sell An Illiquid, Speculative Private Placement Known As Jadda

By Oakes & Fosher Alternative Investment, Current Investigations No Comments
Private Placements The JADDA Secured Senior Mortgage Fund (JADDA) was what is known as a private placement. Private placements are highly speculative and highly illiquid investments sold by third-tier securities…
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Aug 13
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Mitchell Yanow Barred by FINRA and Terminated From Stifel, Nicolaus & Company for Alleged Fund Conversion

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the possible misconduct of former securities broker Mitchell Yanow. According to his publicly available FINRA BrokerCheck report, Mitchell Yanow has…
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Aug 13
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Michael Rosalia Allegedly Engages In Unsuitable Margin Trading

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the possible misconduct of securities broker Michael Rosalia. According to his publicly available FINRA BrokerCheck report, Michael Rosalia has been…
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Aug 13
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Douglas Alexander Allegedly Makes Unsuitable Investment Recommendations

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the possible misconduct of securities broker Douglas Alexander. According to his publicly available FINRA BrokerCheck report, Douglas Alexander has been…
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Aug 09
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Joel Flaningan Allegedly Recommends A Fraudulent Security Operating As A Ponzi Scheme

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the possible misconduct of former securities broker Joel Flaningan. According to his publicly available FINRA BrokerCheck report, Joel Flaningan has…
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Aug 09
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Sean Parikh Allegedly Churns His Client’s Account

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is currently investigating the possible misconduct or negligence of former securities broker Sean Parikh, also known as Kishan Parikh. Our law firm filed…
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Aug 09
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KBS Real Estate Investment Trust

By Oakes & Fosher Alternative Investment, Current Investigations No Comments
A REIT, or Real Estate Investment Trust, is a focused real estate investment. A non-traded REIT is a security that is not listed or sold on the public stock exchanges.…
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Aug 09
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Xavier Patino Suspended By FINRA And Terminated From J.P. Morgan

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the possible misconduct of securities broker Xavier Patino. According to his publicly available FINRA BrokerCheck report, Xavier Patino has been…
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