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 Johnnie M. Jones Allegedly Makes Material Misrepresentations
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Johnnie M. Jones. According to his publicly available FINRA BrokerCheck report, Johnnie M. Jones has been the subject of multiple customer disputes. Johnie…
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Current Investigations Gregory Ricker Allegedly Breaches His Fiduciary Duty
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Gregory Ricker. According to his publicly available FINRA BrokerCheck report, Gregory Ricker has been the subject of multiple customer disputes.…
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Current Investigations Margareta Childs Allegedly Breaches Loan Agreements
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Margareta Childs. According to her publicly available FINRA BrokerCheck report, Margareta Childs is the subject of a pending customer dispute.…
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Current Investigations Keith Wakefield Allegedly Executes Fraudulent Trades
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Keith Wakefield. He was an Illinois based securities broker. He worked in the securities industry for nineteen years. During his career, he was…
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Current Investigations Thomas Stappas Allegedly Recommends Private Investments Without Member Firm Authorization
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Thomas Stappas. According to his publicly available FINRA BrokerCheck report, Thomas Stappas has been the subject of a FINRA sanction. Thomas Stappas…
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Current Investigations Clayton Wertz Allegedly Solicits A Loan Under Fraudulent Pretenses
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Clayton Wertz. According to his publicly available FINRA BrokerCheck report, Clayton Wertz has been the subject of a FINRA sanction. Clayton Wertz was…
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Current Investigations Joseph Likens Allegedly Engages In Selling Away
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Joseph Likens. According to his publicly available FINRA BrokerCheck report, Joseph Likens has been the subject of multiple customer complaints.…
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Current Investigations Stefan Pastor Allegedly Executes Unauthorized Trades
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Stefan Pastor. According to his publicly available FINRA BrokerCheck report, Stefan Pastor has been the subject of multiple customer disputes. Stefan…
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Current Investigations Jody Bowers Allegedly Recommends Unsuitable Investments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Jody Bowers. According to his publicly available FINRA BrokerCheck report, Jody Bowers has been the subject of multiple customer disputes. Jody Bowers…
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Current Investigations Katherine Nishnic Allegedly Makes Material Misrepresentations
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Katherine Nishnic. According to her publicly available FINRA BrokerCheck report, Katherine Nishnic has been the subject of multiple customer complaints over…
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Current Investigations William B. Baum Allegedly Fails To Recommend Suitable Investments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker William B. Baum. According to his publicly available FINRA BrokerCheck report, William B. Baum has been the subject of multiple customer disputes over the…
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Current Investigations Thomas H. Lawrence III Allegedly Makes Fraudulent Misrepresentations
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Thomas H. Lawrence III. According to his publicly available FINRA BrokerCheck report, Thomas H. Lawrence III has been the subject of multiple customer…
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