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

Steven Brodie is an Indiana based securities broker. He has worked in the securities industry for six years. During his career, he has been registered with two different securities firms.

His Registrations

  • Charles Schwab & Co. (2013-2019)
  • AXA Advisors (2020-Present)

The Allegations

In January 2019, customers alleged that Steven Brodie was complicit in recommending an unsuitable options trading strategy to them which resulted in severe losses to their account(s). This case is currently pending. The customers are seeking $191,938 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 Steven Brodie, 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.