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Current Investigations

Sep 20
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Centaurus Financial lawsuit from the actions of broker John Starke - Oakes & Fosher LLC - man checking the stock market on his phone and laptop

Centaurus Financial Lawsuit: Holding John Starke Accountable

By Oakes & Fosher Alternative Investment, Current Investigations No Comments
Oakes and Fosher files a new arbitration against Centaurus Financial for the actions of stockbroker John Starke.  Oakes and Fosher, LLC has initiated a new FINRA arbitration against Centaurus Financial…
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Aug 28
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Rene Javier Castro & The Sale of GWG Bonds | Oakes & Fosher, LLC

Rene Javier Castro & The Sale of GWG Bonds

By Oakes & Fosher Current Investigations, Investment Fraud No Comments
Oakes and Fosher is investigating Rene Javier Castro with Great Point Capital and previously with Center Street Securities for the sale of GWG Bonds. Rene Javier Castro was recently the…
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Aug 14
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Is whole life insurance a good investment for retirement? Oakes & Fosher, LLC, is actively pursuing FINRA arbitration against stockbrokers and firms for misguiding investors.

Is Whole Life Insurance a Good Investment for Retirement?

By Oakes & Fosher Broker Negligence, Current Investigations No Comments
Oakes & Fosher is currently investigating FINRA brokerage firms, such as ONESCO and stockbrokers, that recommend moving from a traditional investment into a Variable or Fixed Whole Life Insurance Product. …
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Aug 09
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The Alleged Broker Misconduct of B. David Goldstein

By Oakes & Fosher Alternative Investment, Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged broker misconduct of B. David Goldstein. According to his publicly available FINRA BrokerCheck report, B. David Goldstein has…
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May 01
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LPL Financial FINRA arbitration - Oakes & Fosher

Jeffrey Kennedy Allegedly Recommends Unsuitable Investments

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Jeffrey Kennedy. According to his publicly available FINRA BrokerCheck report, Jeffrey Kennedy has been…
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Mar 24
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GPB Capital Holdings News: What You Need to Know - Oakes & Fosher

Jill Jester v Dinosaur Financial Group

By Oakes & Fosher Alternative Investment, Current Investigations No Comments
Oakes & Fosher recovered all of the losses suffered by a widow. The Dinosaur Financial Group broker put Mrs. Jester's huband's retirement accounts in alternative investments. The Jester's had limited…
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Feb 18
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AdobeStock 226402458

Jack William Teboda Allegedly Recommends Unsuitable Non-Traded REITs

By Oakes & Fosher Alternative Investment, Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Jack William Teboda. According to his publicly available FINRA BrokerCheck report, Jack Teboda has…
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Jan 05
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LPL Financial FINRA arbitration - Oakes & Fosher

LPL Financial FINRA Arbitration: Unsuitable Investments by Pamela Sue Espinoza

By Oakes & Fosher Alternative Investment, Broker Negligence, Current Investigations No Comments
Oakes & Fosher files an FINRA arbitration claim against LPL Financial Group for the actions of former SII Investments broker Pamela Sue Espinoza AKA Pamela Davis for the unsuitable recommendation…
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Dec 30
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David Sung Wook Park Allegedly Recommends Unsuitable Investments

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker David Sung Wook Park. According to his publicly available FINRA BrokerCheck report, David Park…
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Dec 19
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GPB Capital Holdings News: What You Need to Know - Oakes & Fosher

GPB Capital Holdings News: What You Need to Know

By Oakes & Fosher Alternative Investment, Broker Negligence, Current Investigations No Comments
AIG Advisor independent broker-dealers, Royal Alliance, FSC Corporation, SagePoint Financial, and Woodbury Financial Services recently sanctioned for sales of alternative investments in GPB Capital Holdings. The Financial Industry Regulatory Authority…
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