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Oakes & Fosher in the News Oft-Sanctioned Ex-Broker Kathleen Tarr Loses Expungement Request
The same day that an arbitrator last week completed a six-hour hearing on former independent broker Kathleen J. Tarr’s bid to expunge a customer’s complaint about allegedly unsuitable sales of privately-traded REIT sales from her regulatory record, he denied…
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Oakes & Fosher in the News Couple Wins $922k Arbitration Claim Over Illiquid Real Estate Investments
Couple Wins $922K Arbitration Claim Over Illiquid Real Estate Investments By Bruce Kelly | December 15, 2016 Mid Atlantic Capital Corp., an independent broker-dealer, lost a $922,000 arbitration award on Tuesday to a couple who sued the company over sales of…
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Oakes & Fosher in the News Royal Alliance to pay $1.4 million over nontraded REIT, VA Sales
Royal Alliance to Pay $1.4 million Over Non-Traded REIT, VA Sales By Mason Braswell | July 16, 2015 Royal Alliance Associates Inc., one of four subsidiary broker-dealers of AIG Adviser Group, has been ordered to pay $1.4 million to three retirees over…
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Oakes & Fosher in the News Will New Rules Oust The IRA Scoundrels?
“The Labor Department has set out to purify the sometimes putrid advice people get on investments in their retirement accounts. But will the new rule proposed last week do the trick? The rule says that financial advisers have to put the clients’ interest…
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Oakes & Fosher in the News Madison County Seeks To Recover Investment Losses
Attorneys for Madison County claim that brokerage firm Sterne Agee & Leach of Birmingham, Ala. defrauded the county by selling it inappropriate securities and generating millions of dollars in excessive commissions and fees, according to an amended complaint…
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