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 Coleman Devlin Allegedly Recommends Unsuitable Investments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Coleman Devlin. According to his publicly available FINRA BrokerCheck report, Coleman Devlin has been the subject of numerous customer disputes.…
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Current Investigations Joseph Cotter Allegedly Excessively And Unsuitably Trades The Accounts Of An Elderly Customer
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Joseph Cotter. According to his publicly available FINRA BrokerCheck report, Joseph Cotter has been the subject of a customer dispute and a FINRA…
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Current Investigations Cecil Nivens Allegedly Makes Multiple Unsuitable Recommendations And Fails To Disclose Tax Consequences
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Cecil Nivens. According to his publicly available FINRA BrokerCheck report, Cecil Nivens has been the subject of multiple customer disputes. Cecil…
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Current Investigations Jamil Ahmed Allegedly Breaches His Fiduciary Duty
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Jamil Ahmed. According to his publicly available FINRA BrokerCheck report, Jamil Ahmed has been the subject of a customer dispute. Jamil Ahmed was a…
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Current Investigations Marlon Cole Allegedly Engages In An Unsuitable Pattern Of Excessive Trading
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Marlon Cole. According to his publicly available FINRA BrokerCheck report, Marlon Cole has been the subject of multiple customer disputes. Marlon Cole was a…
Read More Current Investigations Andre Watson Allegedly Engages In An Outside Real Estate Investment Partnership Without Approval From His Member Firm
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Andre Watson. According to his publicly available FINRA BrokerCheck report, Andre Watson has been the subject of a FINRA sanction. Andre Watson was a…
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Current Investigations Terrence Diehl Allegedly Engages In Undisclosed Private Securities Transactions
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Terrence Diehl. According to his publicly available FINRA BrokerCheck report, Terrence Diehl has been the subject of a FINRA sanction. Terrence Diehl…
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Current Investigations Stuart Pearl Terminated From Ameriprise Financial Services Following Allegations Of Exercising Discretion In Non-Discretionary Accounts
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Stuart Pearl. According to his publicly available FINRA BrokerCheck report, Stuart Pearl has been the subject of multiple customer disputes. Stuart…
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Current Investigations Walter Marino Allegedly Recommends Highly Unsuitable Annuity Switches
The law firm of Oakes & Fosher is presently investigating the possible misconduct of former securities broker Walter Marino. According to his publicly available FINRA BrokerCheck report, Walter Marino has been the subject of multiple customer disputes. Walter…
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Current Investigations John Crumb Allegedly Engages In Unapproved Business Activities Away From His Member Firm
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker John Crumb. According to his publicly available FINRA BrokerCheck report, John Crumb has been the subject of a FINRA sanction. John Crumb was a New…
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Current Investigations Scott Wallach Allegedly Misrepresents Commissions
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Scott Wallach. According to his publicly available FINRA BrokerCheck report, Scott Wallach has been the subject of multiple customer disputes over the course…
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Current Investigations Ryan Paugh Allegedly Recommends Unregistered Securities To Multiple Customers
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Ryan Paugh. Ryan Paugh was an Ohio based securities broker. He worked in the securities industry for ten years. During his career, he was registered…
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