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 John Scott Simpson Allegedly Recommends Unsuitable Investments To Multiple Customers
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker John Scott Simpson. According to his publicly available FINRA BrokerCheck report, John Scott Simpson has been the subject of multiple customer…
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Current Investigations David Shapiro Allegedly Trades A Customer’s Account Excessively
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker David Shapiro. According to his publicly available FINRA BrokerCheck report, David Shapiro has been the subject of multiple customer disputes. David…
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Current Investigations Manuel Angel Mejia Gomez Allegedly Recommends Unsuitable Puerto Rico Investments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Manuel Angel Mejia Gomez. According to his publicly available FINRA BrokerCheck report, Manuel Angel Mejia Gomez has been the subject of multiple…
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Current Investigations Scott Goldman Allegedly Makes Unsuitable Investment Recommendations To An Elderly Customer
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Scott Goldman. According to his publicly available FINRA BrokerCheck report, Scott Goldman has been the subject of multiple customer disputes. Scott…
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Current Investigations Ken Balser Terminated From Cetera Advisors Following Allegations Of Engaging In Private Securities Transactions
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Ken Balser. According to his publicly available FINRA BrokerCheck report, Ken Balser has been the subject of multiple customer disputes. Ken Balser…
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Current Investigations Judith Johnston Allegedly Misrepresents Variable Annuities To Multiple Customers
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Judith Johnston. According to her publicly available FINRA BrokerCheck report, Judith Johnston has been the subject of multiple customer disputes.…
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Current Investigations Henry Watson Allegedly Charges A Customer Excessive Commissions
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Henry Watson. According to his publicly available FINRA BrokerCheck report, Henry Watson has been the subject of multiple customer disputes. Henry…
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Current Investigations Robert Hart Allegedly Recommends Unsuitable Investment
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Robert Hart. According to his publicly available FINRA BrokerCheck report, Robert Hart has been the subject of a customer dispute. Robert Hart is a New…
Read More Current Investigations Noel Vincent Allegedly Recommends Highly Unsuitable, Illiquid, and Speculative Alternative Investments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Noel Vincent. According to his publicly available FINRA BrokerCheck report, Noel Vincent has been the subject of numerous customer disputes. Noel…
Read More Current Investigations James Bashaw Allegedly Recommends Unsuitable Promissory Notes
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker James Bashaw. According to his publicly available FINRA BrokerCheck report, James Bashaw has been the subject of multiple customer disputes over the course…
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Current Investigations John Forrester Accused Of Negligence And Breach Of Contract
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker John Forrester. According to his publicly available FINRA BrokerCheck report, John Forrester has been the subject of multiple customer disputes over the…
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Current Investigations Craig Sherrer Allegedly Breaches His Fiduciary Duty
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Craig Sherrer. According to his publicly available FINRA BrokerCheck report, Craig Sherrer is the subject of a pending customer dispute. Craig Sherrer is a…
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