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 Akhil Morada Allegedly Engages In Unsuitable Trading
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Akhil Morada. According to his publicly available FINRA BrokerCheck report, Akhil Morada has been the subject of multiple customer disputes. Akhil…
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Current Investigations Lloyd Layton Allegedly Engages In A Pattern Of Unsuitable Short-Term Trading
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Lloyd Layton. According to his publicly available FINRA BrokerCheck report, Lloyd Layton has been the subject of a FINRA sanction. Lloyd Layton is a…
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Current Investigations Roy Gaytan Terminated From Transamerica Financial Advisors
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Roy Gaytan. According to his publicly available FINRA BrokerCheck report, Roy Gaytan has been the subject of a FINRA sanction. Roy Gaytan was a…
Read More Current Investigations Patrick Jermaine Phillips Allegedly Accepts $70,000 In Loans From A Customer
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Patrick Jermaine Phillips. According to his publicly available FINRA BrokerCheck report, Patrick Jermaine Phillips has been the subject of a customer…
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Current Investigations Darnell Mote Allegedly Engages In Unapproved Outside Business Activities
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Darnell Mote. According to his publicly available FINRA BrokerCheck report, Darnell Mote has been the subject of a FINRA sanction. Darnell Mote was a…
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Current Investigations Charla Kabana Barred By FINRA
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Charla Kabana. According to her publicly available FINRA BrokerCheck report, Charla Kabana has been the subject of a FINRA sanction. Charla Kabana was…
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Current Investigations Andrew Mandell Allegedly Violates Section 5 Of The Securities Act Of 1933
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Andrew Mandell. According to his publicly available FINRA BrokerCheck report, Andrew Mandell has been the subject of a a FINRA sanction. Andrew…
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Current Investigations Bernard McGee Allegedly Makes An Unsuitable Recommendation To Liquidate Multiple Annuities
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Bernard McGee. According to his publicly available FINRA BrokerCheck report, Bernard McGee has been the subject of multiple customer disputes. Bernard…
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Current Investigations Partho Ghosh Allegedly Engages In Unapproved Outside Business Activities
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Partho Ghosh. According to his publicly available FINRA BrokerCheck report, Partho Ghosh is the subject of a pending FINRA sanction. Partho Ghosh was…
Read More Current Investigations Geoffrey Turner Allegedly Recommends Unsuitable L-Share Variable Annuities
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Geoffrey Turner. According to his publicly available FINRA BrokerCheck report, Geoffrey Turner has been the subject of a FINRA sanction. Geoffrey Turner is a…
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Current Investigations Robert Torcivia Allegedly Violates His Firm’s Policies Regarding Beneficiary Appointments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Robert Torcivia. According to his publicly available FINRA BrokerCheck report, Robert Torcivia has been the subject of a FINRA sanction. Robert…
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Current Investigations Kenneth Greer Jr. Allegedly Engages In Outside Business Activities Without Authorization
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Kenneth Greer Jr. According to his publicly available FINRA BrokerCheck report, Kenneth Greer Jr. has been the subject of a FINRA sanction. Kenneth…
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