The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker William Evans IV. According to his publicly available FINRA BrokerCheck report, William Evans IV is the subject of a customer dispute.

William Evans IV was a California based securities broker. He worked in the securities industry for twelve years. During his career, he was registered with four different securities firms. He is no longer working as a registered securities broker in any fashion.

His Registrations

  • Stone & Youngberg (2005-2011)
  • Stifel, Nicolaus & Company (2011-2015)
  • Fidelity Brokerage Services (2015-2017)
  • Merrill Lynch (2017-2018)

The Allegations

In November 2018, a customer alleged that William Evans IV violated the standards of reasonable basis suitability, committed fraud, made misleading statements, made misleading omissions of material information, breached his fiduciary duty, made negligent misrepresentations, handled their account negligently, breached contract and warranty, breached the covenant of good fair and fair dealing, and engaged in elder abuse. The customer in this case is seeking $1.3 million 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 William Evans IV, 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.