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      • Non-Traded REITs
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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.
Aug 15
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Michael Mathias Allegedly Makes Unsuitable Investment Recommendations

By Oakes & Fosher Current Investigations No Comments
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…
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Aug 15
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Joseph Krueger Terminated From Stifel, Nicolaus & Company

By Oakes & Fosher Current Investigations No Comments
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…
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Aug 15
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John J. Maloney Terminated From Edward Jones

By Oakes & Fosher Current Investigations No Comments
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…
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Aug 15
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Dennis Fearing Allegedly Over Concentrates in Private Investments - Oakes & Fosher Law

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

By Oakes & Fosher Current Investigations No Comments
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…
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Aug 15
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James E. Lyons Discharged From Raymond James & Associates And Barred By FINRA

By Oakes & Fosher Current Investigations No Comments
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.…
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Aug 14
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Ronald Knight Allegedly Borrows Money From Clients That He Does Not Pay Back

By Oakes & Fosher Current Investigations No Comments
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…
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Aug 14
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Multiple Investors Accuse David Barber Of Unauthorized Trading

By Oakes & Fosher Current Investigations No Comments
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…
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Aug 14
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Peter Klaass Resigns From Cetera Advisor Networks

By Oakes & Fosher Current Investigations No Comments
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…
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Aug 14
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Justin Fletchall Allegedly Over-Concentrates A Customer’s Account In Unsuitable Puerto Rico Bonds

By Oakes & Fosher Current Investigations No Comments
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…
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Aug 13
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Mid Atlantic Capital Allowed Brokers To Create And Sell An Illiquid, Speculative Private Placement Known As Jadda

By Oakes & Fosher Alternative Investment, Current Investigations No Comments
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…
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