Current Investigations
Over 1,400 case summaries and investor alerts. Recent securities-fraud recoveries, regulatory news, and investigations.
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Current Investigations Barry Richter Allegedly Over-Concentrates His Customers’ Account In Unsuitable Securities
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Barry Richter. According to his publicly available FINRA BrokerCheck report, Barry Richter has been the subject of multiple customer disputes. Barry Richter…
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Current Investigations Scott Curtis Allegedly Misrepresents And Omits Material Facts
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Scott Curtis. According to his publicly available FINRA BrokerCheck report, Scott Curtis has been the subject of multiple customer disputes. Scott Curtis is…
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Current Investigations Steven Yellen Discharged From Ameriprise Financial Services Following Alleged Rule Violation
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Steven Yellen. According to his publicly available FINRA BrokerCheck report, Steven Yellen has been the subject of a customer dispute and an…
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Current Investigations Scott Ente Allegedly Breaches His Fiduciary Duty
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Scott Ente. According to his publicly available FINRA BrokerCheck report, Scott Ente has been the subject of a customer dispute. Scott Ente is a New…
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Current Investigations Julie Morowitz Allegedly Makes Material Misrepresentations
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Julie Morowitz. According to her publicly available FINRA BrokerCheck report, Julie Morowitz has been the subject of a customer dispute. Julie Morowitz is a…
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Current Investigations Charles Friedlander Allegedly Makes Unsuitable Investment Recommendations
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Charles Friedlander. According to his publicly available FINRA BrokerCheck report, Charles Friedlander has been the subject of a customer dispute.…
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Current Investigations Gil Sharon Allegedly Trades His Customers’ Accounts Excessively
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Gil Sharon. According to his publicly available FINRA BrokerCheck report, Gil Sharon has been the subject of multiple customer disputes. Gil Sharon is a New…
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Current Investigations Amadou Bah Allegedly Churns His Client’s Account
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Amadou Bah. According to his publicly available FINRA BrokerCheck report, Amadou Bah has been the subject of a customer dispute. Amadou Bah was a New…
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Current Investigations Paul Gordon Allegedly Recommends Unsuitable Municipal Bonds
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Paul Gordon. According to his publicly available FINRA BrokerCheck report, Paul Gordon has been the subject of multiple customer disputes. Paul Gordon is a…
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Current Investigations Malcolm Reader Allegedly Misrepresents Puerto Rico and Virgin Island Bonds
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Malcolm Reader. According to his publicly available FINRA BrokerCheck report, Malcolm Reader has been the subject of multiple customer complaints over the…
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Current Investigations Robert Hayes Hoffmann Barred By FINRA
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Robert Hayes Hoffmann. According to his publicly available FINRA BrokerCheck report, Robert Hayes Hoffmann has been the subject of multiple customer…
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Current Investigations Jovannie Aquino Allegedly Recommends A Highly Unsuitable Short-Term Trading Strategy To Multiple Customers
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Jovannie Aquino. According to his publicly available FINRA BrokerCheck report, Jovannie Aquino has been the subject of multiple customer disputes.…
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