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 Robert Clarke Allegedly Makes Material Misrepresentations
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Robert Clarke. According to his publicly available FINRA BrokerCheck report, Robert Clarke has been the subject of multiple customer disputes over the course…
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Current Investigations Michael Fasciglione Of Aegis Capital Corp Becomes The Subject Of Multiple Suitability Complaints
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Michael Fasciglione. According to his publicly available FINRA BrokerCheck report, Michael Fasciglione has been the subject of multiple customer disputes…
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Current Investigations Keith Kordich Allegedly Recommends Unsuitable Investments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Keith Kordich. According to his publicly available FINRA BrokerCheck report, Keith Kordich has been the subject of multiple customer disputes over the course…
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Current Investigations William Ornstein Allegedly Breaches His Fiduciary Duty
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker William Ornstein. According to his publicly available FINRA BrokerCheck report, William Ornstein has been the subject of multiple customer disputes over the…
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Current Investigations Christopher Conroy Allegedly Engages In Unauthorized Trading
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Christopher Conroy. According to his publicly available FINRA BrokerCheck report, Christopher Conroy has been the subject of multiple customer disputes over…
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Current Investigations Garland James Allegedly Fails To Follow Instructions
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Garland James. According to his publicly available FINRA BrokerCheck report, Garland James has been the subject of multiple customer disputes. Garland…
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Current Investigations Dudley Stephens Allegedly Trades His Clients’ Accounts Excessively
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Dudley Stephens. According to his publicly available FINRA BrokerCheck report, Dudley Stephens has been the subject of multiple customer disputes.…
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Current Investigations Kyle Harrington Discharged From National Securities Corporation Following Allegations Of Converting Customer Funds
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Kyle Harrington. According to his publicly available FINRA BrokerCheck report, Kyle Harrington has been the subject of multiple customer disputes.…
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Current Investigations Adam Lopez Allegedly Converts Funds From Multiple Customers
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Adam Lopez. According to his publicly available FINRA BrokerCheck report, Adam Lopez has been the subject of multiple customer disputes. Adam Lopez…
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Current Investigations Joseph Ambrosole Allegedly Churns A Customer’s Account
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Joseph Ambrosole. According to his publicly available FINRA BrokerCheck report, Joseph Ambrosole has been the subject of multiple customer disputes over the…
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Current Investigations Jonathan Wiley Terminated From Voya Financial Advisors Following Allegations Of Engaging In Discretionary Trading Without The Proper Authorization
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Jonathan Wiley. Jonathan Wiley is a New York-based securities broker. He has worked in the securities industry for eleven years. During his career, he has…
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Current Investigations Alan New Allegedly Invests Numerous Customers In Fraudulent Woodbridge Promissory Notes
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Alan New. Alan New was an Indiana based securities broker. He worked in the securities industry for sixteen years. During his career, he was…
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