Current Investigations
Over 1,400 case summaries and investor alerts. Recent securities-fraud recoveries, regulatory news, and investigations.
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Current Investigations Steve Morris Terminated From Wynston Hill Capital
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Steve Morris. According to his publicly available FINRA BrokerCheck report, Steve Morris has been the subject of multiple customer disputes. Steve…
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Current Investigations James Dee Carlson Allegedly Exercises Discretion Without The Proper Authorization
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker James Dee Carlson. According to his publicly available FINRA BrokerCheck report, James Dee Carlson has been the subject of a FINRA sanction. James Dee…
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Current Investigations Larry Boggs Allegedly Engages In Unsuitable Short-Term Trading
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Larry Boggs. According to his publicly available FINRA BrokerCheck report, Larry Boggs has been the subject of a FINRA sanction. Larry Boggs was a…
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Current Investigations Todd Kimm Suspended By FINRA Following Allegations Of Unsuitable Short-Term Trading
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Todd Kimm. According to his publicly available FINRA BrokerCheck report, Todd Kimm has been the subject of multiple customer disputes and a FINRA…
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Current Investigations Kevin Jedlicka Suspended By FINRA Following Allegations Of Instituting A Highly Unsuitable Short-Term Trading Strategy
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Kevin Jedlicka. According to his publicly available FINRA BrokerCheck report, Kevin Jedlick has been the subject of multiple employment terminations…
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Current Investigations Paul Curnes Allegedly Violates Securities Laws
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Paul Curnes. According to his publicly available FINRA BrokerCheck report, Paul Curnes has been the subject of multiple customer disputes. Paul Curnes is a…
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Alternative Investment David McMillen Allegedly Recommends Unsuitable and Illiquid Securities
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker David McMillen. According to his publicly available FINRA BrokerCheck report, David McMillen has been the subject of multiple customer disputes. David…
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Current Investigations Christopher Montgomery Allegedly Misrepresents Municipal Bonds
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Christopher Montgomery. According to his publicly available FINRA BrokerCheck report, Christopher Montgomery has been the subject of multiple customer…
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Current Investigations Kwimin Ahn Terminated From Pruco Securities Following Allegations Of Reusing Client Signatures
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Kwimin Ahn. According to his publicly available FINRA BrokerCheck report, Kwimin Ahn has been the subject of a customer dispute. Kwimin Ahn was a New…
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Current Investigations Feisal Malik Allegedly Recommends Unapproved Equity Index Annuities
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Feisal Malik. According to his publicly available FINRA BrokerCheck report, Feisal Malik has been the subject of a FINRA sanction. Feisal Malik is a…
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Current Investigations John MacGowan Terminated From Raymond James
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker John MacGowan. According to his publicly available FINRA BrokerCheck report, John MacGowan has been the subject of a customer dispute. John MacGowan…
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Current Investigations Roger Price Allegedly Engages In Round Trip Trading
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Roger Price. According to his publicly available FINRA BrokerCheck report, Roger Price has been the subject of multiple customer disputes. Roger Price…
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