Firm News &amp; Case Results

Joseph Krueger Terminated From Stifel, Nicolaus & Company

The law firm of Oakes & Fosher is presently investigating the possible misconduct of securities broker Joseph Krueger. According to his publicly available FINRA BrokerCheck report, Joseph Krueger has been the subject of a FINRA sanction. Joseph Krueger is an…

John J. Maloney Terminated From Edward Jones

The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker John J. Maloney. According to his publicly available FINRA BrokerCheck report, John J. Maloney has been the subject of multiple customer disputes over the…

Jerry Guttman Terminated From United Planners Financial Services And Barred By FINRA

Oakes & Fosher is presently investigating the possible misconduct of former securities broker Jerry Guttman. According to his publicly available FINRA BrokerCheck report, Jerry Guttman was involved in the selling of an unapproved security to multiple…

James E. Lyons Discharged From Raymond James & Associates And Barred By FINRA

The law firm of Oakes & Fosher is presently investigating the possible misconduct of former securities broker James E. Lyons. According to his publicly available FINRA BrokerCheck report, James E. Lyons has been the subject of multiple customer disputes.…

Ronald Knight Allegedly Borrows Money From Clients That He Does Not Pay Back

The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Ronald Knight. According to his publicly available FINRA BrokerCheck report, Ronald Knight has been the subject of multiple customer disputes. Ronald…

Multiple Investors Accuse David Barber Of Unauthorized Trading

Oakes & Fosher is presently investigating the possible misconduct of former securities broker David Barber. According to his publicly available FINRA BrokerCheck report, David Barber has been the subject of multiple customer disputes. David Barber was a…

Peter Klaass Resigns From Cetera Advisor Networks

Oakes & Fosher is presently investigating the possible misconduct of former securities broker Peter Klaass. According to his publicly, available FINRA BrokerCheck report, Peter Klaass has been the subject of multiple customer disputes. Peter Klaass operated…

Justin Fletchall Allegedly Over-Concentrates A Customer’s Account In Unsuitable Puerto Rico Bonds

The law firm of Oakes & Fosher is presently investigating the possible misconduct of securities broker Justin Fletchall. According to his publicly available FINRA BrokerCheck report, Justin Fletchall has been the subject of a customer dispute. Justin…

Alternative Investment

Mid Atlantic Capital Allowed Brokers To Create And Sell An Illiquid, Speculative Private Placement Known As Jadda

Private Placements The JADDA Secured Senior Mortgage Fund (JADDA) was what is known as a private placement. Private placements are highly speculative and highly illiquid investments sold by third-tier securities firms. They are funds that raise capital by…

Mitchell Yanow Barred by FINRA and Terminated From Stifel, Nicolaus & Company for Alleged Fund Conversion

The law firm of Oakes & Fosher is presently investigating the possible misconduct of former securities broker Mitchell Yanow. According to his publicly available FINRA BrokerCheck report, Mitchell Yanow has been the subject of a customer complaint and FINRA…

Michael Rosalia Allegedly Engages In Unsuitable Margin Trading

The law firm of Oakes & Fosher is presently investigating the possible misconduct of securities broker Michael Rosalia. According to his publicly available FINRA BrokerCheck report, Michael Rosalia has been the subject of multiple customer disputes over the…