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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Robert Edward Burns Allegedly Recommends Unsuitable Alternative Investments

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The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Robert Edward Burns. According to his publicly available FINRA BrokerCheck report, Robert Edward Burns has been the subject of multiple customer disputes. Robert Edward Burns is a Colorado based securities broker. He has worked in the securities industry for eighteen years. During his career, he has been registered with six different securities firms. His Registrations American Century Investment Services (2000) Charles Schwab & Co. (2000-2002) H. Beck, Inc. (2002-2009) VSR Financial Services (2009-2016) Summit Brokerage Services (2016-2019) Cetera Advisor Networks (2019-Present) The Allegations In…

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Marilyn Zehntner Allegedly Breaches Her Fiduciary Duty

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The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Marilyn Zehntner. According to her publicly available FINRA BrokerCheck report, Marilyn Zehntner has been the subject of a customer dispute. Marilyn Zehntner is a Texas based securities broker. She has worked in the securities industry for eighteen years. She spent her entire career registered with Rhodes Securities. The Allegations In November 2017, a customer alleged that Marilyn Zehntner breached her fiduciary duty, handled their account negligently, and breached contract. This case was settled for $810,000 in damages. What Does This Mean? The only reason…

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John Santariello Allegedly Churns His Customers’ Accounts

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The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker John Santariello. According to his publicly available FINRA BrokerCheck report, John Santariello has been the subject of multiple customer disputes. John Santariello was a New York based securities broker. He worked in the securities industry for eight years. During his career, he was registered with six different securities firms. His Registrations¬† K.C. Ward Financial (2010-2013) National Securities Corporation (2013-2014) Wilmington Capital Securities (2014-2015) Joseph Gunnar & Co. (2015) Cape Securities (2015-2016) Arive Capital Markets (2016-2018) The Allegations In November 2014, a customer alleged…

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Jeffrey Nesseth 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 Jeffrey Nesseth. According to his publicly available FINRA BrokerCheck report, Jeffrey Nesseth has been the subject of multiple customer disputes over the course of his career. Jeffrey Nesseth is presently operating as a Texas based securities broker. He has worked in the securities industry for twenty-nine years. During his career, he has been registered with seven different securities firms. His Registrations Morgan Stanley (1990-2002) Wachovia Securities (2002-2003) Main Street Management Company (2003-2004) QA3 Financial Corp. (2004-2011) Girard Securities (2011) Allied Beacon Partners (2011) Independent…

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Anthony T. Conti Allegedly Makes Material Misrepresentations Leading To Loss Of Principal

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The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Anthony T. Conti. According to his publicly available FINRA BrokerCheck report, Anthony T. Conti has been the subject of a customer dispute. Anthony T. Coni is presently operating as a Pennsylvania based securities broker. He has worked in the securities industry for thirty-three years. During his career, he has been registered with four different securities firms. His Registrations¬† Mellon Financial Services (1986-1988) Commonwealth Securities and Investments (1988-2009) Ross, Sinclair, & Associates (2009-2017) Boenning & Scattergood (2017-Present) The Allegations In October 2016, three Ross, Sinclair…

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Michael Sims Allegedly Recommends Inappropriate Investments

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The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Michael Sims. According to his publicly available FINRA BrokerCheck report, Michael Sims has been the subject of multiple customer disputes. Michael Sims was a California based securities broker. He worked in the securities industry for thirty-seven years. During his career, he was registered with five different securities firms. His Registrations Merrill Lynch (1982-1984) E.F. Hutton & Company (1984-1988) Lehman Brothers (1988-1993) Citigroup Global Markets (1993-2005) Wedbush Securities (2005-2019) The Allegations In June 2008, a customer alleged that Michael Sims recommended unsuitable securities, charged…

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Richard Braverman Allegedly Recommends Unsuitable Direct Participation Programs

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The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Richard Braverman. According to his publicly available FINRA BrokerCheck report, Richard Braverman has been the subject of multiple customer disputes over the course of his career. Richard Braverman is a Pennsylvania based securities broker. He has worked in the securities industry for thirty-seven years. During his career, he has been registered with nine different securities firms. His Registrations John Hancock Distributors (1982-1984) Investors Brokerage Services (1984) Eric Securities (1984-1986) FSC Securities Corporation (1986-1987) Hibbard Brown & Co. (1987) Keogler, Morgan & Company (1987-1997) Royal…

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Kerry Moy Allegedly Makes Material Misrepresentations

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The law firm of Oakes & Fosher is presently investigating alleged misconduct of former securities broker Kerry Moy. According to his publicly available FINRA BrokerCheck report, Kerry Moy has been the subject of multiple customer disputes. Kerry Moy was a California based securities broker. He worked in the securities industry for thirty-four years. During his career, he was registered with two different securities firms. His Registrations Merrill Lynch (1984-2012) Morgan Stanley (2012-2019) The Allegations In October 2007, a customer alleged that Kerry Moy recommended unsuitable investments and made material misrepresentations. This case was settled for $350,000 in damages. In November…

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Steven Roffman Terminated From Ameriprise Financial Services

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The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Steven Roffman. According to his publicly available FINRA BrokerCheck report, Steven Roffman has been the subject of a customer dispute and an employment termination. Steven Roffman is a New York based securities broker. He has worked in the securities industry for thirty-two years. During his career, he has been registered with thirteen different securities firms. His Registrations Johnson, Lane, Space, Smith & Co. (1987-1988) Interstate/Johnson Lane Corporation (1988-1990) Lehman Brothers Inc. (1990-1993) Dean Witter Reynolds (1993-1995) Prudential Securities (1995-1999) A.G. Edwards & Sons (1999-2001)…

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