The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Stephen Williams. Stephen Williams was an Indiana based securities broker. He worked in the securities industry for sixteen years. 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 Williams’ publicly available FINRA BrokerCheck report shows that he was discharged from his position at LPL Financial following allegations that he exercised discretion without written authorization from the account holder or by having his member firm accept the account in question as suitable for discretionary trading. After failing to comply with a FINRA investigation into the matter, he was eventually barred by FINRA 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 Stephen Williams, please contact Oakes & Fosher for a free and private consultation. We work on a contingency basis which means there are no fees charged unless we collect for you.