The law firm of Oakes & Fosher is presently investigating the possible misconduct of former securities broker Robert Flanagan. According to his publicly available FINRA BrokerCheck report, Robert Flanagan has been the subject of a customer dispute and a FINRA sanction.

Robert Flanagan was a Pennsylvania based securities broker. He worked in the securities industry for just five years. He spent his entire career registered with just Pruco Securities. He is no longer working as a registered securities broker in any fashion.

The Allegations

  • In May 2016, a customer alleged that Flanagan did not fully disclose all the facts regarding the surrender charges associated with the customer’s annuity. This case was settled for approximately $12,000.
  • In December 2017, he was sanctioned by FINRA. The findings in this matter state that he allegedly failed to disclose a civil judgement on his Form U4. Due to this allegation, and the fact that he failed to respond to FINRA’s requests for information in a timely manner, he was barred from acting as a securities broker in any fashion.

Oakes& Fosher Can Help

Many investors are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who have lost money in this fashion may actually be entitled to damages.

Oakes & Fosher dedicates its entire legal practice to helping investors across the nation. If you, or someone you know, have lost money investing with Robert Joseph Flanagan, please contact Oakes & Fosher for a free and private consultation. Oakes & Fosher handles cases on a contingency basis, which means there are no fees charged unless we collect for you.