Joseph Roop 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 Joseph Roop. According to his publicly available FINRA BrokerCheck report, Joseph Roop has been the subject of multiple customer disputes over the course of his career. Joseph Roop is a North Carolina based securities broker. He has worked in the securities industry for twenty-three years. During his career, he has been registered with seven different securities firms. His Registrations  Pruco Securities Corporation (1996-1998) MML Investors Services (1998-2000) Legg Mason Wood Walker (2000-2004) Banc of America Investment Services (2004-2008) Wachovia Securities (2008-2009) Kalos Capital (2009-2019)…

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Pratul Agnihotri Allegedly Engages In Selling Away

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The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Pratul Agnihotri. According to his publicly available FINRA BrokerCheck report, Pratul Agnihotri has been the subject of multiple customer disputes. Pratul Agnihotri is a New York based securities broker. He has worked in the securities industry for nineteen years. During his career, he was registered with eleven different securities firms. His Registrations  May, Davis Group Inc. (1999-2000, 2002) Milestone Group Management (2001-2002) Joseph Stevens & Company (2002-2003) Harrison Securities (2003-2004) LH Ross & Company (2004) J.P. Turner & Company (2004-2005) Basic Investors Inc. (2005-2008)…

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Sam Rine Allegedly Recommends Unsuitable Investments

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The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Sam Rine. According to his publicly available FINRA BrokerCheck report, Sam Rine has been the subject of multiple customer disputes. Sam Rine is a Florida based securities broker. He has worked in the securities industry for eighteen years. During his career, he was registered with three different securities firms. His Registrations Citigroup Global Markets (2001-2007) Morgan Stanley (2007-2018) Raymond James (2018-Present) The Allegations In October 2008, a customer alleged that Sam Rine purchased equity positions on his behalf without his authorization. This case was…

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Douglas Gildenmeister Terminated Following Allegations Of Unauthorized Discretionary Trading

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The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Douglas Gildenmeister. According to his publicly available FINRA BrokerCheck report, Douglas Gildenmeister has been the subject of multiple customer disputes over the course of his career. Douglas Gildenmeister is an Ohio based securities broker. He has worked in the securities industry for forty-five years. During his career, he was registered with six different securities firms. His Registrations  Merrill Lynch (1974-1986) Advest (1986-1997) Wachovia Securities (1997-2003) Raymond James & Associates (2003-2019) Ameriprise Financial Services (2019-Present) The Allegations  In May 1995, a customer alleged that Douglas…

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John Hoidas Allegedly Recommends Unsuitable Investments

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The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker John Hoidas. According to his publicly available FINRA BrokerCheck report, John Hoidas has been the subject of multiple customer disputes. John Hoidas is an Illinois based securities broker. He has worked in the securities industry for fifteen years. During his career, he has been registered with six different securities firms. His Registrations  IDS Life Insurance Company (2004-2006) Ameriprise Financial Services (2004-2008) Brewer Financial Services (2008-2010) Kingsbury Capital (2010-2011) Spencer Trask Ventures (2010-2013) Uhlmann Price Securities (2013-Present) The Allegations  In July 2019, a customer alleged…

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Ronald Roach Allegedly Perpetrates A Massive Ponzi Scheme

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The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Ronald Roach. According to his publicly available FINRA BrokerCheck report, Ronald Roach became the perpetrator of a massive Ponzi scheme. Ronald Roach was a California based securities broker. He worked in the securities industry for twenty 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 H.D. Vest Investment Securities (1999-2001) Carillon Investments (2001-2006) Brecek & Young Advisors (2006-2009) Securities America (2009-2019) The Allegations  According to…

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George Schmidt Allegedly Makes Unauthorized Annuity Withdrawals

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The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker George Schmidt. According to his publicly available FINRA BrokerCheck report, George Schmidt has been the subject of multiple customer disputes. George Schmidt was a New York based securities broker. He worked in the securities industry for thirty-six years. During his career, he was registered with five different securities firms. He is no longer working as a registered securities broker in any fashion. His Registrations The Equitable Life Assurance Society of the United States (1983-2000) AXA Advisors (1983-2000) 1717 Capital Management Company (2000-2002) Hornor,…

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Gerald Dewes Allegedly Engages In Selling Away

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The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Gerald Dewes. Gerald Dewes was a New York based securities broker. He worked in the securities industry for twenty-five years. During his career, he was registered with eight different securities firms. He is no longer working as a registered securities broker in any fashion. His Registrations  Thomas James Associates (1994-1995) Securities America (1995-1996) John Hancock Mutual Life Insurance Company (1997) Signator Investors (1997-2000) Cambridge Investment Research (2000-2002) Northeast Securities (2002-2005) Lincoln Financial Securities Corporation (2004-2014) Cadaret, Grant & Co. (2014-2019) The Allegations According…

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William Braun Allegedly Recommends An Unsuitable Private Placement

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The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker William Braun. According to his publicly available FINRA BrokerCheck report, William Braun has been the subject of multiple customer disputes over the course of his career. William Braun is a Florida based securities broker. He has worked in the securities industry for thirty-five years. During his career, he has been registered with eight different securities firms. His Registrations Vantage Securities of Colorado (1984) The Stuart-James Company (1984) Michelin and Company (1984-1987) J.W. Gant & Associates (1987-1992) Corporate Securities Group (1992-1994) JWGenesis Securities (1994-2000) Janney…

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Jingbo Pan Allegedly Breaches His Fiduciary Duty

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The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Jingbo Pan. According to his publicly available FINRA BrokerCheck report, Jingbo Pan has been the subject of multiple customer disputes over the course of his career. Jingbo Pan is a New York based securities broker. He has worked in the securities industry for twelve years. During his career, he has been registered with seven different securities firms. His Registrations World Group Securities (2007-2009) Cetera Financial Specialists (2009-2013) Berthel, Fisher & Company Financial Services (2013) Financial West Group (2014) International Assets Advisory (2014-2018) Axiom Capital…

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