Current Investigations
Over 1,400 case summaries and investor alerts. Recent securities-fraud recoveries, regulatory news, and investigations.
Categories
Suspect investment fraud?
Your consultation is 100% free and confidential. No fees unless we collect for you.
Discuss Your Case
Current Investigations Windsor Street Capital Expelled By FINRA
Windsor Street Capital, formerly known as Meyers Associates, was expelled by FINRA in 2018 following allegations that the firm and its brokers were engaging in abusive and fraudulent conduct regarding their customer accounts. Brokers at Windsor Street Capital…
Read More
Current Investigations Victor Michel Allegedly Engages In Churning
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Victor Michel. According to his publicly available FINRA BrokerCheck report, Victor Michel has been the subject of multiple customer disputes. Victor…
Read More
Current Investigations Douglas P. Simanski Operates An Alleged Ponzi Scheme Disguised As Tax-Free Investments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Douglas P. Simanski. According to his publicly available FINRA BrokerCheck report, Douglas P. Simanski has been the subject of numerous customer…
Read More
Current Investigations Masood Azad Allegedly Engages In Unapproved Private Securities Transactions
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Masood Azad. According to his publicly available FINRA BrokerCheck report, Masood Azad has been the subject of a FINRA sanction. Masood Azad was a…
Read More
Current Investigations Anthony Ross Allegedly Makes Unsuitable Investment Recommendations
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Anthony Ross. According to his publicly available FINRA BrokerCheck report, Anthony Ross has been the subject of a customer dispute. Anthony Ross is a…
Read More
Current Investigations John Pronovost Allegedly Recommends Highly Unsuitable LJM Mutual Funds
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker John Pronovost. According to his publicly available FINRA BrokerCheck report, John Pronovost has been the subject of multiple customer disputes. John…
Read More
Current Investigations George Strnad Allegedly Recommends Unsuitable Securities
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker George Strnad. According to his publicly available FINRA BrokerCheck report, George Strnad has been the subject of a customer dispute. George Strnad is a…
Read More
Alternative Investment Jed Tinder Allegedly Recommends Unregistered Securities To Multiple Investors
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Jed Tinder. According to his publicly available FINRA BrokerCheck report, Jed Tinder has been the subject of multiple customer disputes. Jed Tinder…
Read More
Current Investigations Leslie Koonce Barred By FINRA For Allegedly Recommending Unapproved Promissory Notes
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Leslie Koonce. According to his publicly available FINRA BrokerCheck report, Leslie Koonce has been the subject of a FINRA sanction. Leslie Koonce was…
Read More
Current Investigations Brian Travers Barred By FINRA Following Allegations That He Took Part In An Undisclosed Outside Business Activity
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Brian Travers. According to his publicly available FINRA BrokerCheck report, Brian Travers has been the subject of a FINRA sanction. Brian Travers was…
Read More
Current Investigations Joeann Walker Barred By FINRA Following Allegations Of Purchasing Unsuitable Annuities
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Joeann Walker. According to her publicly available FINRA BrokerCheck report, Joeann Walker has been the subject of multiple customer disputes and a…
Read More
Current Investigations Charles Lynch Jr. Allegedly Recommends Energy Sector Securities To Countless Customers
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Charles Lynch Jr. According to his publicly available FINRA BrokerCheck report, Charles Lynch Jr. has been the subject of numerous customer disputes.…
Read MoreStay informed
Get investor alerts and case results delivered to your inbox. We never share your information.