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 Tyrone Y. Pang Was Barred By FINRA Following Allegations Of Mishandling Client Funds
Tyrone Y. Pang was a California based securities broker. He worked in the securities industry for seven years. During his career, he was registered with just two different securities firms. They were NyLife Securities and MML Investors Services. He is no…
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Current Investigations Neil Fineman Barred By FINRA Following Allegations Of Engaging In Unapproved Private Securities Transactions
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Neil Fineman. According to his publicly available FINRA BrokerCheck report, Neil Fineman has been the subject of multiple customer complaints. Neil…
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Current Investigations Charles Frieda Barred By FINRA After Allegedly Recommending Unsuitable Energy Sector Securities
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Charles Frieda. According to his publicly available FINRA BrokerCheck report, Charles Frieda has been the subject of multiple customer disputes.…
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Current Investigations Mark Plummer Allegedly Misappropriates Almost $400,000 Of Investor Funds
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Mark Plummer. According to his publicly available FINRA BrokerCheck report, Mark Plummer has been the subject of multiple customer disputes. Mark…
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Current Investigations Carter Brooks Terminated From Both Edward Jones And Wells Fargo Clearing Services
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Carter Brooks. Carter Brooks was a Virginia based securities broker. He worked in the securities industry for twenty-three years. During his career,…
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Current Investigations Dawei Wang Discharged From Merrill Lynch
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Dawei Wang. Dawei Wang was a California based securities broker. He worked in the securities industry for ten years. During his career, he was…
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Current Investigations Matt Neas Allegedly Charges Excessive Commissions
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Matt Neas. According to his publicly available FINRA BrokerCheck report, Matt Neas has been the subject of multiple customer disputes. Matt Neas was a…
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Current Investigations Deanne Lampe Discharged From Morgan Stanley Following Allegations Of Reusing Customer Signatures
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Deanne Lampe. Deanne Lampe was a New Jersey based securities broker. She worked in the securities industry for eight years. During her career, she was…
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Current Investigations R. Barry Jones Allegedly Exercises Discretion In Non-Discretionary Accounts
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker R. Barry Jones. According to his publicly available FINRA BrokerCheck report, R. Barry Jones has been the subject of multiple customer disputes. R.…
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Current Investigations David Braeger Allegedly Converts $30,000 From Member Firm Customers For His Own Personal Use
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker David Braeger. According to his publicly available FINRA BrokerCheck report, David Braeger has been the subject of a FINRA sanction. David Braeger was…
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Current Investigations Cory Bataan Allegedly Engages In Unauthorized Trading
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Cory Bataan. According to his publicly available FINRA BrokerCheck report, Cory Bataan has been the subject of multiple customer disputes. Cory Bataan…
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Current Investigations Jeffrey Kinder Allegedly Engages In Excessive UIT Trading
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Jeffrey Kinder. According to his publicly available FINRA BrokerCheck report, Jeffrey Kinder has been the subject of a FINRA sanction. Jeffrey Kinder…
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