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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.
Nov 04
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Alan Appelbaum Allegedly Recommends Unsuitable Investments

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Alan Appelbaum. According to his publicly available FINRA BrokerCheck report, Alan Appelbaum has been…
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Oct 23
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Steve Netzel Allegedly Recommends Unsuitable Investments

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Steve Netzel. According to his publicly available FINRA BrokerCheck report, Steve Netzel is…
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Oct 22
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Michael Patrick Nixon Allegedly Breaches His Fiduciary Duty

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Michael Patrick Nixon. According to his publicly available FINRA BrokerCheck report, Michael Patrick Nixon…
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Oct 22
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Matthew Albers Allegedly Exercises Discretion Without Proper Authorization

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Matthew Albers. According to his publicly available FINRA BrokerCheck report, Matthew Albers has…
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Oct 21
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Nathaniel Royce Clay Allegedly Makes Material Misrepresentations

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Nathaniel Royce Clay. According to his publicly available FINRA BrokerCheck report, Nathaniel Royce…
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Oct 21
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Vincent Mazza Allegedly Breaches Contract

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Vincent Mazza. According to his publicly available FINRA BrokerCheck report, Vincent Mazza has…
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Oct 21
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David Kraft Allegedly Makes Material Misrepresentations Concerning Mutual Fund Investments

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker David Kraft. According to his publicly available FINRA BrokerCheck report, David Kraft has…
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Oct 21
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Joseph Peggs Allegedly Executes Unauthorized Transactions

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Joseph Peggs. According to his publicly available FINRA BrokerCheck report, Joseph Peggs has been…
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Oct 21
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UBS Financial’s Yield Enhancement Strategy

William Byrd Allegedly Forgoes Investing Suitably To Maximize Commissions

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker William Byrd. According to his publicly available FINRA BrokerCheck report, William Byrd has been…
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Oct 21
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Fernando Gonzalez Allegedly Breaches His Fiduciary Duty

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Fernando Gonzalez. According to his publicly available FINRA BrokerCheck report, Fernando Gonzalez is…
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