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 Gordon M. Roberts Allegedly Makes Material Misrepresentations About Investments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Gordon M. Roberts. According to his publicly available FINRA BrokerCheck report, Gordon M. Roberts has been the subject of multiple customer disputes over…
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Current Investigations Manish Shah Allegedly Solicits A Loan From A Customer Under False Pretenses
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Manish Shah. According to his publicly available FINRA BrokerCheck report, Manish Shah has been the subject of a customer dispute. Manish Shah was a…
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Current Investigations Gregory Dean Allegedly Churns The Accounts Of Multiple Customers
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Gregory Dean. According to his publicly available FINRA BrokerCheck report, Gregory Dean has been the subject of multiple customer disputes. Gregory…
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Current Investigations Andrew Perry Allegedly Recommends The Highly Unsuitable Yield Enhancement Strategy
The law firm of Oakes & Fosher is currently investigating allegations levied against securities broker Andrew Perry concerning the Yield Enhancement Strategy--also known as the YES strategy. The Yield Enhancement Strategy The YES strategy was a controversial…
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Current Investigations Joel Davidman Allegedly Exercises Discretion Without Proper Authorization
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Joel Davidman. According to his publicly available FINRA BrokerCheck report, Joel Davidman has been the subject of multiple complaints in his career. Joel…
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Current Investigations Mark Schklar Allegedly Breaches His Fiduciary Duty
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Mark Schklar. According to his publicly available FINRA BrokerCheck report, Mark Schklar has been the subject of multiple customer disputes. Mark…
Read More Current Investigations Harold Pomeranz Allegedly Recommends Unsuitable UIT Transactions
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Harold Pomeranz. According to his publicly available FINRA BrokerCheck report, Harold Pomeranz has been the subject of multiple customer disputes.…
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Alternative Investment ATEL Capital Group
Oakes & Fosher is currently investigating the possible unsuitability associated with equipment leasing products sold by brokers and broker dealers--specifically products under the umbrella of the ATEL Capital Group. These securities, all housed under ATEL…
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Current Investigations Robert Berry Allegedly Engages In Discretionary Trading Without Proper Authorization
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Robert Berry. According to his publicly available FINRA BrokerCheck report, Robert Berry has been the subject of a customer dispute and a FIRNA sanction.…
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Current Investigations Olori Hamilton Accused Of Converting Customer Funds
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Olori Hamilton. According to his publicly available FIRNA BrokerCheck report, Olori Hamilton has been the subject of a customer dispute. Olori…
Read More Current Investigations William Wyman Allegedly Sells Away From His Member Firm
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker William Wyman. According to his publicly available FINRA BrokerCheck report, William Wyman is the subject of a pending customer dispute. William Wyman…
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Current Investigations David Mallett Allegedly Churns A Customer’s Account
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker David Mallett. According to his publicly available FINRA BrokerCheck report, David Mallett has been the subject of multiple customer disputes over the…
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