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 Buffington Allegedly Executes Unauthorized Trades
The law firm of Oakes & Fosher is currently investigating the alleged misconduct of securities broker Robert Buffington. According to his publicly available FINRA BrokerCheck report, Robert Buffington was the subject of multiple customer disputes over the…
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Current Investigations Kevin Rainwater Allegedly Recommends Unsuitable Investments
The law firm of Oakes & Fosher is currently investigating the alleged misconduct of securities broker Kevin Rainwater. According to his publicly available FINRA BrokerCheck report, Kevin Rainwater has been the subject of multiple customer disputes over the…
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Current Investigations Keith Simmons Allegedly Recommends Unsuitable Investments
The law firm of Oakes & Fosher is currently investigating the alleged misconduct of securities broker Keith Simmons. According to his publicly available FINRA BrokerCheck report, Keith Simmons has been the subject of multiple customer disputes over the course…
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Current Investigations Thomas Kieffer Allegedly Breaches His Fiduciary Duty
The law firm of Oakes & Fosher is currently investigating the alleged misconduct of securities broker Thomas Kieffer. According to his publicly available FINRA BrokerCheck report, Thomas Kieffer has been the subject of multiple customer disputes over the…
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Current Investigations Charles Euler Allegedly Recommends Unsuitable Investments
The law firm of Oakes & Fosher is currently investigating the alleged misconduct of securities broker Charles Euler. According to his publicly available FINRA BrokerCheck report, Charles Euler was the subject of multiple customer disputes over the course of…
Read More Current Investigations LPL Financial Sanctioned Due To Alleged Unsuitable Non-Traded REIT And Leveraged ETF Sales
Oakes & Fosher is currently interested in hearing from customers of the independent broker dealer, LPL Financial, that believe they experienced losses due to purchasing non-traded real estate investment trust (REITs) that they were financially unsuited for.…
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Current Investigations David Weisberg Sanctioned By FINRA For Allegedly Excessively Trading Customers’ Accounts
The law firm of Oakes & Fosher is currently investigating the alleged misconduct of securities broker David Weisberg. According to his publicly available FINRA BrokerCheck report, David Weisberg was the subject of multiple customer disputes over the course of…
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Current Investigations Jeffrey Labelle Allegedly Recommended Unsuitable Investments
The law firm of Oakes & Fosher is currently investigating the alleged misconduct of securities broker Jeffrey Labelle. According to his publicly available FINRA BrokerCheck report, Jeffrey Labelle had been the subject of multiple customer disputes over the…
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Current Investigations James Parrelly Suspended By FINRA For Allegedly Engaging In Unauthorized Discretionary Trading
The law firm of Oakes & Fosher is currently investigating the alleged misconduct of securities broker James Parrelly. According to his publicly available FINRA BrokerCheck report, James Parrelly has been the subject of multiple customer disputes over the…
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Current Investigations Gregory Tucker Allegedly Over-Concentrates Customer Accounts
The law firm of Oakes & Fosher is currently investigating the alleged misconduct of securities broker Gregory Tucker. According to his publicly available FINRA BrokerCheck report, Gregory Tucker has been the subject of multiple customer disputes over the…
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Current Investigations Dana Vietor Allegedly Fails To Disclose Promissory Note Sales
The law firm of Oakes & Fosher is currently investigating the alleged misconduct of securities broker Dana Vietor. According to his publicly available FINRA BrokerCheck report, Dana Vietor had been the subject of multiple customer disputes over the course of…
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Current Investigations Scott Kozak Sanctioned By FINRA For Allegedly Soliciting Private Investments
The law firm of Oakes & Fosher is currently investigating the alleged misconduct of securities broker Scott Kozak. According to his publicly available FINRA BrokerCheck report, Scott Kozak had been the subject of multiple customer disputes. Scott Kozak was a…
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