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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.
May 24
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Hyun Sik Cho Allegedly Makes Unsuitable Investment Recommendations

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Hyun Sik Cho. According to his publicly available FINRA BrokerCheck report, Hyun Sik…
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May 24
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Ronald Cole Allegedly Converts Customer Funds For His Own Personal Use

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Ronald Cole. According to his publicly available FINRA BrokerCheck report, Ronald Cole has…
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May 24
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Jon Schmidhamer Pleads Guilty To Unlawful Securities Practices

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Jon Schmidhamer. According to his publicly available FINRA BrokerCheck report, Jon Schmidhamer has…
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May 24
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John Valliades Allegedly Churns His Clients’ Accounts

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker John Valliades. According to his publicly available FINRA BrokerCheck report, John Valliades has…
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May 24
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John Scott Simpson Allegedly Recommends Unsuitable Investments To Multiple Customers

By Oakes & Fosher Current Investigations No Comments
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…
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May 24
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David Shapiro Allegedly Trades A Customer’s Account Excessively

By Oakes & Fosher Current Investigations No Comments
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…
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May 23
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Manuel Angel Mejia Gomez Allegedly Recommends Unsuitable Puerto Rico Investments

By Oakes & Fosher Current Investigations No Comments
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…
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May 23
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Scott Goldman Allegedly Makes Unsuitable Investment Recommendations To An Elderly Customer

By Oakes & Fosher Current Investigations No Comments
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…
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May 23
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Ken Balser Terminated From Cetera Advisors Following Allegations Of Engaging In Private Securities Transactions

By Oakes & Fosher Current Investigations No Comments
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…
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May 21
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Judith Johnston Allegedly Misrepresents Variable Annuities To Multiple Customers

By Oakes & Fosher Current Investigations No Comments
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…
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