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

Martin McLaughlin was a Connecticut based securities broker. He worked in the securities industry for forty-one 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

  • Richard Franklin (1976-1981)
  • McLaughlin, Piven, Vogel, Securities, Inc. (1977-1989)
  • Smith Barney, Harris Upham & Co. (1989)
  • A.G. Edwards & Sons (1989-2008)
  • Wells Fargo Advisors (2008-2010)
  • UBS Financial Services (2010-2018)

The Allegations

In January 2018, a customer alleged that Martin McLaughlin breached his fiduciary duty, managed their account negligently, breached contract, and recommended high-risk equities unsuitable for them. This case was settled for $71,500 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 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 Martin McLaughlin, please contact Oakes & Fosher for a free and private consultation. Oakes & Fosher handles cases on a contingency basis, which means there are no fees charged unless we collect for you.