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  • Practice Areas
    • Alternative Investments
      • Non-Traded REITs
      • Non-Traded BDCs
      • Private Placements
      • Promissory Notes
    • FINRA Arbitration
    • Churning & Excessive Trading
    • Stockbroker Fraud
      • Elder Fraud
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Oakes Fossher LLC Accounting firm st louis

Securities Blog

Since 2007, Oakes and Fosher has won more cases on behalf of individual investors tried before full FINRA panels than any other attorney in the country.
May 18
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How The COVID-19 Pandemic Revealed The Unsuitability Of ETRACS Monthly Pay 2xLeveraged Closed-End Fund ETN (CEFL)

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is currently investigating a particular exchange traded note, ETN, developed by UBS Financial Services. This particular product existed in a series of these…
Read More
May 18
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How The COVID-19 Pandemic Revealed The Unsuitability Of ETRACS Monthly Pay 2xLeveraged Diversified High Income ETN (DVHL)

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is currently investigating a particular exchange traded note, ETN, developed by UBS Financial Services. This particular product existed in a series of these…
Read More
May 18
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How The COVID-19 Pandemic Revealed The Unsuitability Of ETRACS Monthly Reset 2xLeveraged ISE Exclusively Homebuilders ETN (HOML)

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is currently investigating a particular exchange traded note, ETN, developed by UBS Financial Services. This particular product existed in a series of these…
Read More
May 18
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How The COVID-19 Pandemic Revealed The Unsuitability Of ETRACS Monthly Pay 2xLeveraged Wells Fargo MLP Ex-Energy ETN (LMLP)

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is currently investigating a particular exchange traded note, ETN, developed by UBS Financial Services. This particular product existed in a series of these…
Read More
May 18
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How The COVID-19 Pandemic Revealed The Unsuitability Of ETRACS 2xMonthly Leveraged S&P MLP Index ETN Series B (MLPZ)

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is currently investigating a particular exchange traded note, ETN, developed by UBS Financial Services. This particular product existed in a series of these…
Read More
May 16
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How The COVID-19 Pandemic Revealed The Unsuitability Of ETRACS ProShares Daily 3x Inverse Crude ETN linked to the Bloomberg WTI Crude Oil Subindex (WTID)

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is currently investigating a particular exchange traded note, ETN, developed by UBS Financial Services. This particular product existed in a series of these…
Read More
May 15
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Juan Barreras Allegedly Misrepresents Investments

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is currently investigating the alleged misconduct of securities broker Juan Barreras. According to his publicly available FINRA BrokerCheck report, Juan Barreras has been…
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May 15
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Shane Appelbaum Allegedly Recommends Unsuitable Investments To Elderly Investors

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is currently investigating the alleged misconduct of securities broker Shane Appelbaum. According to his publicly available FINRA BrokerCheck report, Shane Appelbaum has been…
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May 15
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How The COVID-19 Pandemic Revealed The Unsuitability Of ETRACS Monthly Pay 2xLeveraged U.S. High Dividend Low Volatility ETN (HDLV)

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is currently investigating a particular exchange traded note, ETN, developed by UBS Financial Services. This particular product existed in a series of these…
Read More
May 11
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The COVID-19 Pandemic Causes Numerous Investors To Realize They Were Unsuitably Invested In UBS ETRAC Products

By Oakes & Fosher Current Investigations No Comments
Oakes & Fosher is presently investigating a series of investment products sold by registered brokers at UBS Financial Services Inc. These products were a series of exchange traded notes, also…
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