Stephen Holt Allegedly Fails To Conduct Adequate Due Diligence

The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Stephen Holt. According to his publicly available FINRA BrokerCheck report, Stephen Holt has been the subject of a customer complaint in his career.

Stephen Holt is a California based securities broker. He has worked in the securities industry for eight years. During his career, he has been registered with four different securities firms.

His Registrations

• Steven L. Falk & Associates (2011)


• Nelsonreid, Inc. (2011)


• Sandlapper Securities (2011-2014)


• Lighthouse Capital Group (2014-Present)

The Allegations 

In December 2019, a customer alleged that Stephen Holt conduct limited due diligence regarding a DST investment. This case is currently pending. The customer is seeking $168,370 in damages.

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 Stephen Holt, please contact Oakes & Fosher for a free and private consultation. We handle cases on a contingency basis, which means there are no fees charged unless we collect for you.