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 Stephen Holt Allegedly Fails To Conduct Adequate Due Diligence
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Stephen Holt. According to his publicly available FINRA BrokerCheck report, Stephen Holt has been the subject of a customer complaint in his career. Stephen…
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Current Investigations Daryl Serizawa Allegedly Recommends Unsuitable Private Investment Funds
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Daryl Serizawa. According to his publicly available FINRA BrokerCheck report, Daryl Serizawa has been the subject of a customer dispute in his career. Daryl…
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Current Investigations Ralph Jackson Allegedly Recommends Unsuitable High Yield Corporate Bonds
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Ralph Jackson. According to his publicly available FINRA BrokerCheck report, Ralph Jackson has been the subject of multiple customer disputes over the course…
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Current Investigations Mark Cline Allegedly Invests Numerous Customers In Securities They Are Not Financially Suited For
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Mark Cline. According to his publicly available FINRA BrokerCheck report, Mark Cline has been the subject of numerous customer disputes in his career. Mark…
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Current Investigations Gregory Hill Allegedly Fails To Conduct The Necessary Due Diligence
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Gregory Hill. According to his publicly available FINRA BrokerCheck report, Gregory Hill is currently the subject of a pending customer dispute. Gregory Hill…
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Current Investigations Gene Esplin Allegedly Recommends Unsuitable Alternative Investments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Gene Esplin. According to his publicly available FINRA BrokerCheck report, Gene Esplin has been the subject of a customer dispute. Gene Esplin worked…
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Current Investigations Scott Fairchild Allegedly Recommends Unsuitable Alternative Investments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Scott Fairchild. According to his publicly available FINRA BrokerCheck Report, Scott Fairchild has been the subject of multiple customer complaints over the…
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Current Investigations Jeffrey Rand Miller Allegedly Breaches Contract
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Jeffrey Rand Miller. According to his publicly available FINRA BrokerCheck report, Jeffrey Rand Miller has been the subject of a customer dispute in his…
Read More Uncategorized Daniel Pimental Allegedly Engages In Churning
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Daniel Pimental. According to his publicly available FINRA BrokerCheck report, Daniel Pimental has been the subject of multiple customer disputes over the…
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Uncategorized Dustin Shafer Allegedly Recommends Unsuitable Alternative Investmetns
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Dustin Shafer. According to his publicly available FINRA BrokerCheck report, Dustin Shafer has been the subject of multiple complaints over the course of his…
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Current Investigations Henry Klausman Allegedly Mismanages Customer Accounts
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Henry Klausman. According to his publicly available FINRA BrokerCheck report, Henry Klausman has been the subject of multiple customer disputes. Henry…
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Current Investigations Aaron Brodt Allegedly Fails To Conduct The Necessary Due Diligence
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Aaron Brodt. According to his publicly available FINRA BrokerCheck report, Aaron Brodt has been the subject of multiple customer disputes. Aaron Brodt…
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