Firm News & Case Results
Over 1,400 case summaries and investor alerts. Recent securities-fraud recoveries, regulatory news, and investigations.
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Current Investigations Juergen Weber Barred By FINRA Following Allegations Of Unauthorized Trading
The law firm of Oakes & Fosher is presently investigating the possible misconduct of former securities broker Juergen Weber. According to his publicly available FINRA BrokerCheck report, Juergen Weber has been the subject of multiple disputes that include a…
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Current Investigations Stewart Malloy Allegedly Makes Unsuitable Investments
The law firm of Oakes & Fosher is presently investigating the possible misconduct of former securities broker Stewart Malloy. According to his publicly available FINRA BrokerCheck report, Stewart Malloy has been the subject of multiple customer disputes.…
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Current Investigations J. Gordon Cloutier Jr. Allegedly Asks A Customer For A Personal Loan
The law firm of Oakes & Fosher is presently investigating the possible misconduct of former securities broker J. Gordon Cloutier Jr. J. Gordon Cloutier Jr. was a Texas based securities broker. He worked in the securities industry for nineteen years. During…
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Current Investigations Daniel Winger Barred By FINRA For Alleged Fund Conversion
The law firm of Oakes & Fosher is presently investigating the possible misconduct of former securities broker Daniel Winger. According to his publicly available FINRA BrokerCheck report, Daniel Winger has been the subject of a FINRA sanction. Daniel Winger…
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Current Investigations William Bridgers Allegedly Purchases Unsuitable Securities In The Energy Sector
The law firm of Oakes & Fosher is presently investigating the possible misconduct of securities broker William Bridgers. According to his publicly available FINRA BrokerCheck report, William Bridgers has been the subject of a customer dispute. William…
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Current Investigations Terrence Fant Allegedly Breaches His Fiduciary Duty
The law firm of Oakes & Fosher is presently investigating the possible misconduct of securities broker Terrence Fant. According to his publicly available FINRA BrokerCheck report, Terrence Fant has been the subject of a recent customer dispute. Terrence Fant…
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Current Investigations Jeannette Adcock Allegedly Misleads Customers
The law firm of Oakes & Fosher is presently investigating the possible misconduct of securities broker Jeannette Adcock. According to her publicly available FINRA BrokerCheck report, Jeannette Adcock has been the subject of multiple customer disputes over the…
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Current Investigations Stephen Hoshimi Terminated From Crescent Securities For Allegedly Engaging In Unapproved Outside Business Activities
The law firm of Oakes & Fosher is presently investigating the possible misconduct of former securities broker Stephen Hoshimi. According to his publicly available FINRA BrokerCheck report, Stephen Hoshimi has been the subject of multiple customer disputes…
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Current Investigations William Rossi III Allegedly Breaches His Fiduciary Duty
The law firm of Oakes & Fosher is presently investigating the possible misconduct of securities broker William Rossi III. According to his publicly available FINRA BrokerCheck report, William Rossi III has been the subject of a customer dispute. William Rossi…
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Current Investigations Michael Clarke Allegedly Converts Almost $600,000 In A Fraudulent Investment Scheme
The law firm of Oakes & Fosher is presently investigating the possible misconduct of securities broker Michael Clarke. According to his publicly available FINRA BrokerCheck report, Michael Clarke has been the subject of a FINRA sanction. Michael Clarke is a…
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Current Investigations Atiq Urrehman Khan Terminated From Transamerica Financial Advisors
The law firm of Oakes & Fosher is presently investigating the possible misconduct of former securities broker Atiq Urrehman Khan. According to his publicly available FINRA BrokerCheck report, Atiq Urrehman Khan has been the subject of an employment…
Read More Current Investigations James Stowell Suspended For Allegedly Liquidating A Customer's Mutual Fund Without Authorization
The law firm of Oakes & Fosher is presently investigating the possible misconduct of former securities broker James Stowell. According to his publicly available FINRA BrokerCheck report, James Stowell has been the subject of a customer dispute and a FINRA…
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