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Category

Current Investigations

Feb 13
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AdobeStock 89168969

Douglas Havel Allegedly Misrepresents The Details Of A Customer’s Variable Annuity

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Douglas Havel. According to his publicly available FINRA BrokerCheck report, Douglas Havel has been…
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Feb 13
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AdobeStock 127594546

Frank Esposito Allegedly Executes Unsuitable Non-Traded REIT Transactions

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Frank Esposito. According to his publicly available FINRA BrokerCheck report, Frank Esposito has been…
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Feb 13
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AdobeStock 74888921

Michael D. Lucas Allegedly Misleads A Customer To Sign Annuity Documents

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Michael D. Lucas. According to his publicly available FINRA BrokerCheck report, Michael D. Lucas…
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Feb 13
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AdobeStock 117784175

Jimmy Forbis Allegedly Recommends An Unsuitable Variable Annuity

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Jimmy Forbis. According to his publicly available FINRA BrokerCheck report, Jimmy Forbis has been…
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Feb 13
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AdobeStock 65075816

Daniel Moran Allegedly Fails To Follow His Customer’s Instructions

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Daniel Moran. According to his publicly available FINRA BrokerCheck report, Daniel Moran has been…
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Feb 13
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AdobeStock 11323183

Victor Rigoni Allegedly Breaches Contract

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Victor Rigoni. According to his publicly available FINRA BrokerCheck report, Victor Rigoni has been…
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Feb 13
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Marsha Lee Allegedly Makes Unsuitable Investment Recommendations

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Marsha Lee. According to her publicly available FINRA BrokerCheck report, Marsha Lee has been…
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Feb 13
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AdobeStock 11323183

Alan Dole Allegedly Manages His Customers’ Accounts Negligently

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Alan Dole. According to his publicly available FINRA BrokerCheck report, Alan Dole has been…
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Feb 13
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featured blog image oakes fosher6

Raymond Hopper Allegedly Makes Negligent Misrepresentations About Energy Bonds

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Raymond Hopper. According to his publicly available FINRA BrokerCheck report, Raymond Hopper has been…
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Feb 13
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AdobeStock 56320190

Multiple Customers Allege That William Hobby Purchased Highly Unsuitable Investments On Their Behalf

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker William Hobby. According to his publicly available FINRA BrokerCheck report, William Hobby has…
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