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 Michael Sims Allegedly Recommends Inappropriate Investments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Michael Sims. According to his publicly available FINRA BrokerCheck report, Michael Sims has been the subject of multiple customer disputes. Michael…
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Current Investigations Richard Braverman Allegedly Recommends Unsuitable Direct Participation Programs
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Richard Braverman. According to his publicly available FINRA BrokerCheck report, Richard Braverman has been the subject of multiple customer disputes over…
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Current Investigations Steven Roffman Terminated From Ameriprise Financial Services
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Steven Roffman. According to his publicly available FINRA BrokerCheck report, Steven Roffman has been the subject of a customer dispute and an employment…
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Current Investigations Patrick Foley Allegedly Misleads A Customer About Required Premiums
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Patrick Foley. According to his publicly available FINRA BrokerCheck report, Patrick Foley has been the subject of multiple customer disputes. Patrick Foley…
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Current Investigations Bobby Coburn Allegedly Recommends Unapproved Private Securities
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Bobby Coburn. According to his publicly available FINRA BrokerCheck report, Bobby Coburn has been the subject of multiple customer disputes and a…
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Current Investigations Barry Snyder Allegedly Engages In Excessive And Unauthorized Trading
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Barry Snyder. According to his publicly available FINRA BrokerCheck report, Barry Snyder has been the subject of multiple customer disputes. Barry Snyder is…
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Current Investigations Leon Almeida Allegedly Misrepresents Variable Annuities
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Leon Almeida. According to his publicly available FINRA BrokerCheck report, Leon Almeida has been the subject of multiple customer disputes over the course…
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Current Investigations Mark Wetherell Terminated From Kovack Securities
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Mark Wetherell. According to his publicly available FINRA BrokerCheck report, Mark Wetherell has been the subject of multiple customer disputes. Mark…
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Current Investigations Halil Kozi Allegedly Churns A Customer’s Account
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Halil Kozi. According to his publicly available FINRA BrokerCheck report, Halil Kozi has been the subject of a FINRA sanction. Halil Kozi operated…
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Current Investigations Joseph Andreoli Allegedly Recommends Unsuitable Securities
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Joseph Andreoli. According to his publicly available FINRA BrokerCheck report, Joseph Andreoli has been the subject of multiple customer disputes over the…
Read More Current Investigations Jack David Stone Allegedly Engages In Unauthorized Discretionary Trading
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Jack David Stone. According to his publicly available FINRA BrokerCheck report, Jack David Stone has been the subject of multiple customer disputes…
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Current Investigations Michael Carter Allegedly Misappropriates Customer Funds
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Michael Carter. According to his publicly available FINRA BrokerCheck report, Michael Carter has been the subject of an employment termination.…
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