The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker James Ward. James Ward was a Florida based securities broker. He worked in the securities industry for four years. He spent his entire career registered with just Northwestern Mutual Investment Services. He is no longer working as a registered securities broker in any fashion.

The Allegations

James Ward’s publicly available FINRA BrokerCheck report shows that his career came to an end in March 2018, when his employment with Northwestern Mutual Investment Services ended. He was permitted to resign from the securities firm amidst allegations that he misappropriated funds for his personal use.

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 James Ward, please contact Oakes & Fosher for a free and private consultation.