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

John Spach was a California based securities broker. He worked in the securities industry for twenty-two years. During his career, he was registered with six different securities firms. He is no longer working as a registered securities broker in any fashion.

His Registrations

  • MML Investors Services (1996-1998)
  • NFP Securities (1998-2000)
  • Sentra Securities Corporation (2000-2002)
  • Financial West Group (2002-2007)
  • Financial Telesis (2007-2014)
  • Kestra Investment Services (2014-2018)

The Allegations 

In February 2018, an investor alleged that John Spach introduced them to an outside investor. This individual purchased a promissory note for $475,000 from this outside investor. The outside investor then defaulted on the note. This case was settled for $450,000 in damages.

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 damage.

Oakes & Fosher dedicates its entire legal practice to helping investors across the nation. If you, or someone you know, have lost money investing with John Spach, 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.