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 Timothy Scherwa Allegedly Exercises Discretion In Non-Discretionary Accounts Without Authorization
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Timothy Scherwa. According to his publicly available FINRA BrokerCheck report, Timothy Scherwa has been the subject of a FINRA sanction. Timothy Scherwa is…
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Current Investigations Ian Greenblatt Allegedly Engages In Financial Elder Abuse
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Ian Greenblatt. According to his publicly available FINRA BrokerCheck report, Ian Greenblatt has been the subject of multiple customer disputes over the…
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Current Investigations Robert Krieger Allegedly Engages In Outside Business Activities
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Robert Krieger. According to his publicly available FINRA BrokerCheck report, Robert Krieger has been the subject of a customer dispute and a FINRA sanction.…
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Current Investigations George McCaffrey Allegedly Takes Part In Unapproved Private Securities Transactions
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker George McCaffrey III. According to his publicly available FINRA BrokerCheck report, George McCaffrey III has been the subject of customer disputes and…
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Current Investigations Richard Hughes Allegedly Recommends Unsuitable Short Term Trades Of Long Term Products
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Richard Hughes. According to his publicly available FINRA BrokerCheck report, Richard Hughes has been the subject of a FINRA sanction. Richard Hughes…
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Current Investigations Richard Yada Allegedly Exercises Discretion In Non-Discretionary Accounts
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Richard Yada. According to his publicly available FINRA BrokerCheck report, Richard Yada has been the subject of a customer dispute and a FINRA…
Read More Current Investigations Robert Todd Clark Barred By FINRA Following Allegations Of Converting Customer Funds
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Robert Todd Clark. According to his publicly available FINRA BrokerCheck report, Robert Todd Clark has been the subject of multiple customer disputes.…
Read More Current Investigations David Bolton Allegedly Institutes An Unsuitable Short-Term Trading Strategy
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker David Bolton. According to his publicly available FINRA BrokerCheck report, David Bolton has been the subject of a FINRA sanction. David Bolton was a…
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Current Investigations Thomas Logue Allegedly Recommends Unsuitable Investments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Thomas Logue. According to his publicly available FINRA BrokerCheck report, Thomas Logue has been the subject of multiple customer disputes. Thomas…
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Current Investigations Jeffery Kelly Allegedly Converts Customer Funds
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Jeffery Kelly. According to his publicly available FINRA BrokerCheck report, Jeffery Kelly has been the subject of a FINRA sanction. Jeffery Kelly was…
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Current Investigations Howard Utz Allegedly Converts Customer Funds Through A Fraudulent Private Investment
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Howard Utz. According to his publicly available FINRA BrokerCheck report, Howard Utz was involved in a fraudulent private business venture. Howard Utz…
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Current Investigations Edward O. Daniel Barred By FINRA
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Edward O. Daniel. According to his publicly available FINRA BrokerCheck report, Edward O. Daniel has been the subject of multiple customer disputes.…
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