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 Michael Spolar Suspended By FINRA After Allegedly Exercising Discretion Without The Proper Authorization
The law firm of Oakes & Fosher is currently investigating the possible misconduct of former securities broker Michael Spolar. According to his publicly available FINRA BrokerCheck report, Michael Spolar has been the subject of numerous customer disputes.…
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Alternative Investment Kyusun Kim Allegedly Inflates The Net Worth Of Elderly Investors
The law firm of Oakes & Fosher is presently investigating the possible misconduct of former securities broker Kyusun Kim. According to his publicly available FINRA BrokerCheck report, Kyusun Kim has been the subject of over twenty customer disputes. Kyusun…
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Current Investigations Steven Knuttila Sanctioned By Both FINRA And The State of Minnesota
The law firm of Oakes & Fosher is currently investigating the possible misconduct of former securities broker Steven Knuttila. According to his publicly available FINRA BrokerCheck report, Steven Knuttila has been the subject of numerous customer disputes.…
Read More Current Investigations Harold Connell Barred By FINRA Following Alleged Misrepresentation
The law firm of Oakes & Fosher is currently investigating the possible misconduct of former securities broker Harold Connell. According to his publicly available FINRA BrokerCheck report, Harold Connell has been the subject of a recent FINRA sanction. Harold…
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Current Investigations Sean Brady Terminated From First Allied Securities Following Allegations Of Forgery
The law firm of Oakes & Fosher is currently investigating the alleged misconduct of former securities broker Sean Brady. According to his publicly available FINRA BrokerCheck report, Sean Brady has been the subject of multiple customer disputes. Sean Brady…
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Current Investigations John Wade Allegedly Converts Over $100,000 From Multiple Elderly Customers
The law firm of Oakes & Fosher is currently investigating the possible misconduct of former securities broker John Wade. According to his publicly available FINRA BrokerCheck report, John Wade has been the subject of a FINRA sanction and a customer complaint.…
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Current Investigations Bradley Gardner Resigns From LPL Financial
The law firm of Oakes & Fosher is currently investigating the possible misconduct of former securities broker Bradley Gardner. According to his publicly available FINRA BrokerCheck report, Bradley Gardner has been the subject of a customer dispute and a FINRA…
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Current Investigations Christopher Wendel Allegedly Recommends Fraudulent Private Offerings Associated With Woodbridge
The law firm of Oakes & Fosher is presently investigating the possible misconduct of former securities broker Christopher Wendel. According to his publicly available FINRA BrokerCheck report, Christopher Wendel has been the subject of multiple customer…
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Current Investigations William D. Nelson Barred By FINRA
Oakes & Fosher is presently investigating the alleged misconduct of former securities broker William D. Nelson. According to his publicly available FINRA BrokerCheck report, William D. Nelson has been the subject of multiple customer complaints. William D.…
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Current Investigations Donnell Bowen Allegedly Forges Numerous Customers’ Signatures
Oakes & Fosher is currently investigating the alleged misconduct of former securities broker Donnell Bowen. According to his publicly available FINRA BrokerCheck report, Donnell Bowen has been the subject of numerous customer disputes. Donnell Bowen was a…
Read More Current Investigations Vincent Sciabica Allegedly Recommends An Unnecessary UIT Trading Strategy
The law firm of Oakes & Fosher is presently investigating the possible misconduct of former securities broker Vincent Sciabica. According to his publicly available FINRA BrokerCheck report, Vincent Sciabica, has been the subject of a FINRA sanction. Vincent…
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Current Investigations Michael Mathias Allegedly Makes Unsuitable Investment Recommendations
Oakes & Fosher is presently investigating the possible misconduct of securities broker Michael Mathias. According to his publicly available FINRA BrokerCheck report, Michael Mathias has been the subject of numerous customer disputes over the course of his…
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