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Oakes & Fosher Law
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Securities Blog

Jan 15
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Elderly Investor Wins $2.6 Million From Indie Firm In FINRA Arbitration

By Oakes & Fosher | Oakes & Fosher in the News | No Comments

By Vicky Ge Huang | January 8th, 2020 A Finra arbitration panel has ordered National Planning Corp. to pay $2.6 million to an octogenarian customer who bought fraudulent promissory notes,…

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Jan 09
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Oakes & Fosher Attorneys Secure $2.6 Million in Damages For Elderly Investor

By Oakes & Fosher | Oakes & Fosher in the News, Press Releases | No Comments

The Investor Advocate Law Firm of Oakes & Fosher, LLC, www.oakesfosher.com, a law firm specializing in representing investors in cases against stock brokers and brokerage firms, announced today that a…

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Oct 18
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Oppenheimer Ordered to Pay Investor $1.2 Million in Case

By Oakes & Fosher | Oakes & Fosher in the News | No Comments

Oppenheimer Ordered to Pay Investor $1.2 Million in Case By Caitlin Nish | January 18, 2013 NEW YORK–An arbitration panel has ordered Oppenheimer & Co. to pay nearly $1.2 million…

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Oct 18
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Stifel Nicolaus To Pay $42,000 Award To Investor

By Oakes & Fosher | Oakes & Fosher in the News | No Comments

Stifel Nicolaus To Pay $42,000 Award To Investor By Diana Barr | April 1, 2011 An investor who lost money more than a year ago in a Ponzi scheme run…

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Sep 13
0
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Oakes And Fosher Sues New England Securities For Alleged Failure To Supervise

By Oakes & Fosher | Oakes & Fosher in the News | No Comments

Tale Of Cheating Planner Teaches Lesson By Jim Gallagher | September 27, 2009 In December 2006, Marge and Clyde Crutcher of Godfrey got a letter from the financial planner managing…

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Aug 28
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Oakes & Fosher Convinces FINRA Arbitrators To Order Trustmont Financial To Pay Client $1 Million In Damages

By Oakes & Fosher | Oakes & Fosher in the News | No Comments

FINRA Arbitrators Order Pennsylvania Brokerage To Pay Client $1 Million In Damages By Sarah Min | August 23, 2018 Financial Industry Regulatory Authority Inc. arbitrators ordered Pennsylvania-based Trustmont Financial Group…

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Apr 27
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Oft-Sanctioned Ex-Broker Kathleen Tarr Loses Expungement Request

By Oakes & Fosher | Oakes & Fosher in the News

Oft-Sanctioned Ex-Broker Kathleen Tarr Loses Expungement Request By Jed Horowitz | March 29, 2017 The same day that an arbitrator last week completed a six-hour hearing on former independent broker…

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Apr 27
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Couple Wins $922k Arbitration Claim Over Illiquid Real Estate Investments

By Oakes & Fosher | Oakes & Fosher in the News

Couple Wins $922K Arbitration Claim Over Illiquid Real Estate Investments By Bruce Kelly | December 15, 2016 Mid Atlantic Capital Corp., an independent broker-dealer, lost a $922,000 arbitration award on…

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Apr 27
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Royal Alliance to pay $1.4 million over nontraded REIT, VA Sales

By Oakes & Fosher | Oakes & Fosher in the News

Royal Alliance to Pay $1.4 million Over Non-Traded REIT, VA Sales By Mason Braswell | July 16, 2015 Royal Alliance Associates Inc., one of four subsidiary broker-dealers of AIG Adviser…

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Apr 27
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Will New Rules Oust The IRA Scoundrels?

By Oakes & Fosher | Oakes & Fosher in the News

Will new rules oust the IRA scoundrels? By Jim Gallagher | April 18, 2015 “The Labor Department has set out to purify the sometimes putrid advice people get on investments…

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Recent Posts

  • Andrew Bruce Elsoffer Allegedly Executes Unauthorized Trades
  • Daniel Philip Raupp Allegedly Recommends Unsuitable Investments
  • Joseph Michael Fedorko Allegedly Churns Customers’ Accounts
  • GWG Holdings Defaults On L Bonds Interest Payments
  • Marc Korsch Allegedly Concentrates Accounts In Unsuitable Investments

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  • Securities Fraud
    • FINRA Arbitration
    • Securities Employment & Industry Disputes
    • Equipment Leasing Funds
    • Broker Negligence
    • Stock Loss
    • Churning & Excessive Trading
    • Mutual Fund Fraud
    • Private Placement
    • Securities Arbitration
    • Stockbroker Fraud
    • Conversion Fraud
    • Variable Annuities
    • Ponzi Schemes
    • Elder Fraud
    • Junk Bonds
    • Excessive 401(k) Fees
    • Equity Indexed Annuities
    • UBS Financial’s Yield Enhancement Strategy
    • Collateral Yield Enhancement Strategy (CYES)
  • Alternative Investments
    • Non-Traded Business Development Companies
    • Non-Traded Real Estate Investment Trusts
    • Oil and Gas Limited Partnerships
    • Promissory Notes
    • Tenancy in Common Investments
  • About Us
    • Bruce D Oakes
    • Richard B Fosher
    • Paralegals & Staff
    • Awards & Settlements
    • Testimonials
  • Resources
    • Blog
      • Current Investigations
        • Jesse Kovacs Suspended By FINRA
        • Yvonne Nirelli Suspended By FINRA
      • Frank Venturelli Allegedly Executes Unsuitable Trades
    • In the News
    • Fraud Resources By State
      • Texas Fraud Resources
      • New York Fraud Resources
      • Illinois Fraud Resources
      • Florida Fraud Resources
  • Contact