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Current Investigations

Jun 23
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David Weisberg Sanctioned By FINRA For Allegedly Excessively Trading Customers’ Accounts

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is currently investigating the alleged misconduct of securities broker David Weisberg. According to his publicly available FINRA BrokerCheck report, David Weisberg was the…
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Jun 15
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Jeffrey Labelle Allegedly Recommended Unsuitable Investments

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is currently investigating the alleged misconduct of securities broker Jeffrey Labelle. According to his publicly available FINRA BrokerCheck report, Jeffrey Labelle had been…
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Jun 15
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James Parrelly Suspended By FINRA For Allegedly Engaging In Unauthorized Discretionary Trading

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is currently investigating the alleged misconduct of securities broker James Parrelly. According to his publicly available FINRA BrokerCheck report, James Parrelly has been…
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Jun 08
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Gregory Tucker Allegedly Over-Concentrates Customer Accounts

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is currently investigating the alleged misconduct of securities broker Gregory Tucker. According to his publicly available FINRA BrokerCheck report, Gregory Tucker has been…
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May 28
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Dana Vietor Allegedly Fails To Disclose Promissory Note Sales

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is currently investigating the alleged misconduct of securities broker Dana Vietor. According to his publicly available FINRA BrokerCheck report, Dana Vietor had been…
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May 28
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Scott Kozak Sanctioned By FINRA For Allegedly Soliciting Private Investments

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is currently investigating the alleged misconduct of securities broker Scott Kozak. According to his publicly available FINRA BrokerCheck report, Scott Kozak had been…
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May 28
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Mark Jensen Allegedly Breaches His Fiduciary Duty

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is currently investigating the alleged misconduct of securities broker Mark Jensen. According to his publicly available FINRA BrokerCheck report, Mark Jensen had been…
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May 28
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Erik Drewes Allegedly Excessively Trades Customer Accounts

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is currently investigating the alleged misconduct of securities broker Erik Drewes. According to his publicly available FINRA BrokerCheck report, Erik Drewes has been…
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May 18
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How The COVID-19 Pandemic Revealed The Unsuitability Of ETRACS Monthly Pay 2xLeveraged US Small Cap High Dividend ETN (SMHD)

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is currently investigating a particular exchange traded note, ETN, developed by UBS Financial Services. This particular product existed in a series of these…
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May 18
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How The COVID-19 Pandemic Revealed The Unsuitability Of ETRACS 2x Monthly Leveraged Alerian MLP Infrastructure Index ETN (MLPQ)

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is currently investigating a particular exchange traded note, ETN, developed by UBS Financial Services. This particular product existed in a series of these…
Read More
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