The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Gautam Arora. Gautam Arora was a California based securities broker. He worked in the securities industry for six years. He spent his entire career registered with Transamerica Financial Advisors. He is no longer working as a registered securities broker in any fashion.
The Allegations
According to Gautam Arora’s publicly available FINRA BrokerCheck report, he was terminated from his position at Transamerica Financial Advisors in December 2019. This termination followed allegations that he solicited multiple member firm customers to invest in unapproved private investments without approval from the member firm.
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 Gautam Arora, please contact Oakes & Fosher for a free and private consultation. We work on a contingency basis, which means there are no fees charged unless we collect for you.
