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 Herbert Hafen Allegedly Misappropriates Customer Funds While Operating A Seven Year Long Investment Scheme
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Herbert Hafen. According to his publicly available FINRA BrokerCheck report, Herbert Hafen has been the subject of a customer dispute. Herbert Hafen…
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Current Investigations Stephen Williams Discharged From LPL Financial
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Stephen Williams. Stephen Williams was an Indiana based securities broker. He worked in the securities industry for sixteen years. He is no longer…
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Current Investigations Nancy Mellon Allegedly Over-Concentrates A Customer’s Portfolio In Unsuitable Energy Sector Securities
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Nancy Mellon. According to his publicly available FINRA BrokerCheck report, Nancy Mellon has been the subject of a customer dispute and a FINRA…
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Current Investigations Mark Saunders Discharged From Edward Jones Following Allegations Of Unauthorized Discretionary Trading
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Mark Saunders. Mark Saunders was a Missouri based securities broker. He worked in the securities industry for nineteen years. He spent his entire…
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Current Investigations Michael Norman Allegedly Misrepresents The Rate Of Return Of A Mutual Fund
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Michael Norman. According to his publicly available FINRA BrokerCheck report, Michael Norman has been the subject of multiple customer disputes.…
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Current Investigations Frank Dietrich Allegedly Invested Multiple Member Firm Customers In The Unapproved Woodbridge Mortgage Investment Funds
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Frank Dietrich. According to his publicly available FINRA BrokerCheck report, Frank Dietrich has been the subject of numerous customer disputes. Frank…
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Current Investigations David Fagenson Allegedly Unsuitably Trades The Accounts Of Three Elderly Customers
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker David Fagenson. According to his publicly available FINRA BrokerCheck report, David Fagenson has been the subject of multiple customer disputes. David…
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Current Investigations Robert Witt Allegedly Fails To Adequately Diversify His Clients’ Portfolios
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Robert Witt. According to his publicly available FINRA BrokerCheck report, Robert Witt has been the subject of multiple customer disputes. Robert Witt…
Read More Current Investigations Randolph McNeill Allegedly Churns Multiple Clients’ Accounts
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Randolph McNeill. According to his publicly available FINRA BrokerCheck report, Randolp McNeill has been the subject of multiple customer disputes.…
Read More Current Investigations Omar Henry Allegedly Makes Unsuitable Investment Recommendations
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Omar Henry. According to his publicly available FINRA BrokerCheck report, Omar Henry has been the subject of a customer dispute. Omar Henry was a New…
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Current Investigations David Colflesh Allegedly Fails To Communicate Mutual Fund Risks To Numerous Customers
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker David Colflesh. According to his publicly available FINRA BrokerCheck report, David Colflesh has been the subject of numerous customer disputes. David…
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Current Investigations Eric Kunis Allegedly Engages In Unsuitable Short-Term UIT Trading
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Eric Kunis. According to his publicly available FINRA BrokerCheck report, Eric Kunis has been the subject of a FINRA sanction. Eric Kunis is a New York-based…
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