Over the last 12 years, Oakes & Fosher has tried and won more FINRA arbitration cases on behalf of individual investors than any other law firm in the country.

*Past results do not guarantee a similar outcome. The choice of a lawyer is an important decision and should not be based alone on prior results.

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The law firm of Oakes & Fosher is presently investigating the possible misconduct of securities broker Nancy Glassman. According to her publicly available FINRA BrokerCheck report, Nancy Glassman has been the subject of multiple customer disputes over the course of her career.

Nancy Glassman is a New York based securities broker. She has worked in the securities industry for thirty years. During her career, she has been registered with seven different securities firms.

Her Registrations

  • Investors Center, Inc. (1988-1989)
  • W.J. Nolan & Company (1989)
  • Wood-Pomerantz Securities (1989-1990)
  • Gruntal & Co. (1992-1994)
  • Austin Securities (1991-1994)
  • UBS Financial Services (1994-2017)
  • Morgan Stanley (2017-Present)

The Allegations

  • In December 2000, a customer alleged that Nancy Glassman recommended they invest in unsuitable companies. This case was settled for $30,625 in damages.
  • In November 2009, a customer alleged that Nancy Glassman recommended an unsuitable product and misrepresented details about said product. This case was settled for $22,500 in damages.
  • In May 2019, an attorney, on behalf of a customer alleged that Nancy Glass recommended unsuitable securities. This case is currently pending. The customer is seeking $48,000 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 of the matter 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 Nancy Glassman, please contact Oakes & Fosher for a free and private consultation.