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Current Investigations

Aug 01
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AdobeStock 170905148

Michael Mackay Allegedly Refers Customers To An Unapproved Outside Security

By Oakes & Fosher Current Investigations No Comments
Oakes & Fosher is currently investigating the possible negligence and/or misconduct of former securities broker Michael Mackay. According to his publicly available FINRA BrokerCheck report, Michael Mackay was recently barred…
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Aug 01
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AdobeStock 158914921

Fred R. Brown Allegedly Solicits Fraudulent Loans From Multiple Customers

By Oakes & Fosher Current Investigations No Comments
Oakes & Fosher is currently investigating former securities broker Fred R. Brown for possible fraud or negligence. According to his publicly available FINRA BrokerCheck report, Fred R. Brown has been…
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Jul 30
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AdobeStock 54422632

William Slone Allegedly Engages In Unauthorized Trading

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is currently investigating the possible negligence and/or misconduct of former securities broker William Slone. According to his publicly available FINRA BrokerCheck report, William…
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Jul 30
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AdobeStock 62088406

Mark Ciriaco Allegedly Converts The Funds Of A Non-Profit

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is currently investigating former securities broker Mark Ciriaco for possible negligence and/or misconduct. According to his publicly available FINRA BrokerCheck report, Mark Ciriaco…
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Jul 29
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AdobeStock 66883101

Ricky Mantei Allegedly Recommends Unsuitable Securities

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is currently investigating securities broker Ricky Mantei for possible negligence and/or misconduct. According to his publicly available FINRA BrokerCheck report, Ricky Mantei has…
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Jul 29
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broker negligence attorney - Oakes & Fosher

David Phillips Allegedly Recommends An Unsuitable Security

By Oakes & Fosher Current Investigations No Comments
Oakes & Fosher is currently investigating the possible negligence and/or misconduct by former securities broker David Phillips. According to his publicly available FINRA BrokerCheck report, David Phillips became the subject…
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Jul 29
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AdobeStock 132341163

Wenjinn Chang Allegedly Invests His Customer In Unsuitable Non-Traded REITs

By Oakes & Fosher Current Investigations No Comments
Oakes & Fosher is currently investigating the possible negligence and/or misconduct by securities broker Wenjinn Chang. According to his publicly available FINRA BrokerCheck report, Wenjinn Chang has been the subject…
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Jul 29
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AdobeStock 155565861

Christopher Hellman Allegedly Misappropriates Customer Funds

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is currently investigating former securities broker Christopher Hellman. According to his publicly available FINRA BrokerCheck report, Christopher Hellman has been the subject of…
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Jul 29
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AdobeStock 162607891

Gregory Jon Williams Allegedly Engages In Securities Fraud

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is currently investigating securities broker Gregory Jon Williams for possible negligence and/or misconduct. According to his publicly available FINRA BrokerCheck report, Gregory Jon…
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Jul 29
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AdobeStock 166541065

Michael Freeman Allegedly Churns The Account Of An Elderly Customer

By Oakes & Fosher Current Investigations No Comments
Oakes & Fosher is currently investigating the possible negligence and/or misconduct of former securities broker Michael Freeman. According to his publicly available FINRA BrokerCheck report, Michael Freeman became the subject…
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