Richard Coleman Allegedly Engages In The Excessive Trading Of Multiple Investor Accounts

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The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Richard Coleman. According to his publicly available FINRA BrokerCheck report, Richard Coleman has been the subject of multiple customer disputes. Richard Coleman was a New York based securities broker. He worked in the securities industry for twenty-one years. During his career, he was registered with twenty different securities firms. His Registrations Gaines, Berland Inc. (1996-1998) Whitehall Wellington Investments, Inc. (1998-2000) Harrison Securities (2001-2002) Gunnallen Financial (2002-2003) Continental Broker-Dealer Corp. (2003-2004) Granite Associates, Inc. (2004) LH Ross & Company (2004) Benson York Group (2004-2006)…

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Craig Zabala Allegedly Executes Private Securities Transactions

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The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Craig Zabala. According to his publicly available FINRA BrokerCheck report, Craig Zabala has been the subject of a FINRA sanction. Craig Zabala was a New York based securities broker. He worked in the securities industry for fifteen years. During his career, he was registered with eight different securities firms. His Registrations Merrill Lynch (1997-1998) Trautman Wasserman & Company (2000-2001) Allmerica Investments (2001-2002) Brean Murray & Co. (2002-2003) Independent Securities Investors Corporation (2004-2005) Intercoastal Financial Services Corp. (2006) Torisiello Securities (2007-2013) John W. Loofbourrow…

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Lisa Acca Allegedly Recommends Unapproved Private Securities

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The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Lisa Acca. According to her publicly available FINRA BrokerCheck report, Lisa Acca has been the subject of a FINRA sanction. Lisa Acca was a New York based securities broker. She worked in the securities industry for thirteen years. During her career, she was registered with five different securities firms. Her Registrations AXA Advisors (2003-2009) Essex National Securities (2009) Equity Services (2009-2010) Global Arena Capital Corp. (2011-2015) Arive Capital Markets (2015-2017) The Allegations In August 2019, Lisa Acca was officially sanctioned by FINRA. The…

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Eldridge Parks Allegedly Recommends Unsuitable Securities

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The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Eldridge Parks. According to his publicly available FINRA BrokerCheck report, Eldridge Parks has been the subject of a customer dispute and a FINRA sanction. Eldridge Parks was a Michigan based securities broker. He worked in the securities industry for thirty-six years. During his career, he was registered with five different securities firms. His Registrations E.F. Hutton & Company (1982-1988) Lehman Brothers (1988-1993) Citigroup Global Markets (1993-2009) Morgan Stanley (2009-2013) Raymond James (2013-2018) The Allegations In December 2017, a customer alleged that Eldridge Parks…

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Bryan Clark Allegedly Engages In Unapproved Private Securities Transactions

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Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Bryan Clark. According to his publicly available FINRA BrokerCheck report, Bryan Clark has been the subject of multiple customer disputes. Bryan Clark was a California based securities broker. He worked in the securities industry for seventeen years. During his career, he was registered with eight different securities firms. He is no longer working as a registered securities broker. His Registrations Pruco Securities (1998) Peregrine Financials & Securities (2000-2002) Spencer Edwards (2003) Wamu Investments (2003-2007) Wells Fargo Advisors (2007-2010) UnionBanc Investment Services (2010) LPL Financial (2010-2015) Madison Avenue…

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Joshua Stivers Allegedly Recommends Unsuitable Securities

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The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Joshua Stivers. According to his publicly available FINRA BrokerCheck report, Joshua Stivers is the subject of a pending customer dispute. Joshua Stivers is a Texas based securities broker. He has worked in the securities industry for five years. During his career, he has been registered with two different securities firms. His Registrations G.F. Investment Services (2014-2017) Kalos Capital (2017-Present) The Allegations In September 2019, a customer alleged that Joshua Stivers recommended unsuitable investments. This case is currently pending. The customer is seeking $100,000 in…

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Robert Ginsberg Allegedly Recommends Highly Unsuitable Non-Traded REITs

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The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Robert Ginsberg. According to his publicly available FINRA BrokerCheck report, Robert Ginsberg has been the subject of multiple customer disputes connected to his alleged recommendations of non-traded REITs. Robert Ginsberg is a Connecticut based securities broker. He has worked in the securities industry for eleven years. During his career, he has been registered with two different securities firms. His Registrations Investors Capital Corp. (2008-2016) Woodbury Financial Services (2016-Present) The Allegations Robert Ginsberg is the subject of multiple pending disputes from customers alleging he recommended…

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John Howley Allegedly Recommends A Fraudulent Investment Known As Global Credit Recovery

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The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker John Howley. According to his publicly available FINRA BrokerCheck report, John Howley has been the subject of multiple customer disputes in connection with an investment known as Global Credit Recovery. John Howley was a New Jersey based securities broker. He worked in the securities industry for twenty-three years. During his career, he was registered with two different securities firms. His Registrations Guardian Investor Services Corporation (1995-1999) Park Avenue Securities (1999-2018) The Allegations Multiple customers have filed claims against Park Avenue Securities due to…

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Yvonne Silguero Allegedly Misrepresents And Omits Material Facts

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The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Yvonne Silguero. According to her publicly available FINRA BrokerCheck report, Yvonne Silguero has been the subject of multiple customer disputes over the course of her career. Yvonne Silguero is a Texas based securities broker. She has worked in the securities industry for twenty years. During her career, she has been registered with two different securities firms. Her Registrations Raymond James (1999-2008) LPL Financial (2008-Present) The Allegations In April 2017, a customer alleged that Yvonne Silguero recommended securities that were unsuitable for him. This case…

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David H. Miller Allegedly Recommends Unsuitable Non-Traded REITs

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The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker David H. Miller. According to his publicly available FINRA BrokerCheck report, David H. Miller has been the subject of multiple customer disputes. David H. Miller is a Georgia based securities broker. He has worked in the securities industry for sixteen years. During his career, he was registered with four different securities firms. His Registrations IDS Life Insurance Company (2003-2006) Ameriprise Financial Services (2003-2008) Investacorp, Inc. (2008-2015) Peachcap Securities (2015-Present) The Allegations David H. Miller has been the subject of multiple complaints due to him…

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