The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Earle Tingley. According to his publicly available FINRA BrokerCheck report, Earle Tingley has been the subject of a FINRA sanction.

Earle Tingley was a Florida based securities broker. He worked in the securities industry for sixteen years. During his career, he was registered with three different securities firms.

His Registrations

  • Wachovia Securities Financial Network (2001-2002)
  • A.G. Edwards & Sons (2002-2008)
  • Wells Fargo Advisors (2008-2018)

The Allegations

Earle Tingley was officially sanctioned by FINRA in August 2018. The findings in this matter state that he allegedly violated his member firm’s policy regarding loans by accepting a $35,000 loan from a customer at his member firm. Due to the allegations against him, he was fined $5,000 and suspended from acting as a securities broker in any fashion for a period of forty-five days.

Oakes & Fosher Can Help

Many investors are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who have lost money in this fashion may actually be entitled to damages.

Oakes & Fosher dedicates its entire legal practice to helping investors across the nation. If you, or someone you know, have lost money investing with Earle Tingley, please contact Oakes & Fosher for a free and private consultation.