The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Stephen Robert Williams. Stephen Robert Williams was an Indiana based securities broker. He worked in the securities industry for sixteen years. During his career, he was registered with just two different securities firms. He is no longer working as a registered securities broker in any fashion.
His Registrations
- Edward Jones (2001-2004)
- LPL Financial (2004-2017)
The Allegations
Stephen Robert Williams’ publicly available FINRA BrokerCheck report shows that he was terminated from his position at LPL Financial in October 2017. This termination followed allegations that he exercised discretion without written authorization. This alleged action was a direct violation of the firm’s policies.
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 Robert Williams, please contact Oakes & Fosher for a free and private consultation.
