Robert Murray Allegedly Churns Customer Accounts

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The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Robert Murray. According to his publicly available FINRA BrokerCheck report, Robert Murray has been the subject of multiple customer disputes. Robert Murray was a New York based securities broker. He worked in the securities industry for nineteen years. During his career, he was registered with nine different securities firms. He is no longer working as a registered securities broker in any fashion. His Registrations HD Brous & Co. (1998-1999) Vanguard Capital (1999-2002, 2008-2009) Benson York Group (2002-2006) New Castle Financial Services (2006-2007) Summit…

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Martin Batstone Allegedly Converts Customer Funds

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The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Martin Batstone. According to his publicly available FINRA BrokerCheck report, Martin Batstone has been the subject of a customer dispute and a FINRA sanction. Martin Batstone was a California based securities broker. He worked in the securities industry for twenty-six years. During his career, he was registered with seven different securities firms. He is no longer working as a registered securities broker in any fashion. His Registrations Thomas James Associates (1991-1992) IDS Life Insurance Company (1992-2006) Ameriprise Financial Services (1992-2007) QA3 Financial (2007-2009)…

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Robert Meyers Allegedly Recommends Private Equity Funds

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The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Robert Meyers. According to his publicly available FINRA BrokerCheck report, Robert Meyers has been the subject of multiple customer disputes. Robert Meyers was an Ohio based securities broker. He worked in the securities industry for thirty-one years. During his career, he was registered with six different securities firms. He is not currently working as a registered securities broker in any fashion. His Registrations Prudential-Bache Securities (1985-1987) Shearson Lehman Brothers (1987) Blunt Ellis & Loewi (1988-1990) Advest (1990-2006) Merrill Lynch (2006-2007) Wells Fargo (2007-2017)…

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Charles Bridgers Allegedly Executes Unauthorized Municipal-Bond Transactions

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The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Charles Bridgers. According to his publicly available FINRA BrokerCheck report, Charles Bridgers has been the subject of a FINRA sanction. Charles Bridgers was a North Carolina based securities broker. He worked in the securities industry for thirty-four years. During his career, he was registered with three different securities firms. He is no longer working as a registered securities broker in any fashion. His Registrations Merrill Lynch (1984-1997) First Union Capital Markets (1996-1999) Wells Fargo (1999-2018) The Allegations Charles Bridgers was officially sanctioned by…

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Simon Joseph Allegedly Engages In Unauthorized Trading

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The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Simon Joseph. According to his publicly available FINRA BrokerCheck report, Simon Joseph has been the subject of a customer dispute. Simon Joseph is a Virginia based securities broker. He has worked in the securities industry for ten years. During his career, he has been registered with four different securities firms. His Registrations ING Financial Partners (2008-2009) AXA Advisors (2009) Morgan Stanley (2009-2016) BB&T Securities (2016-Present) The Allegations In September 2016, a customer alleged that Simon Joseph executed unauthorized trades in their account. This case…

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Brian Parker Allegedly Forges Customer Signatures

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The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Brian Parker. According to his publicly available FINRA BrokerCheck report, Brian Parker has been the subject of multiple customer disputes and a FINRA sanction. Brian Parker was a Louisiana 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 not currently working as a registered securities broker in any fashion. His Registrations Fidelity Equity Services Corporation (1991) Pro-financial (1992-1995) Securities America (1995-1997) SunAmerica Securities (1997-1998) National Planning Corporation…

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Stuart Nichols Barred By FINRA Following Allegations Of Excessive Trading

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The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Stuart Nichols. According to his publicly available FINRA BrokerCheck report, Stuart Nichols has been the subject of a FINRA sanction. Stuart Nichols was an Alabama based securities broker. He worked in the securities industry for thirteen years. During his career, he was registered with three different securities firms. He is no longer working as a registered securities broker in any fashion. His Registrations Sterne Agee Financial Services (2005-2008) Morgan Keegan & Company (2008-2013) Raymond James (2013-2018) The Allegations In October 2019, Stuart Nichols…

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Louis Mark Miller Allegedly Exercises Discretion Without Proper Authorization

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The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Louis Mark Miller. Louis Mark Miller was a New York-based securities broker. He worked in the securities industry for nineteen years. During his career, he was registered with three different securities firms. He is no longer working as a registered securities broker in any fashion. His Registrations Prudential Securities Incorporation (1998-2003) Wells Fargo (2003-2013) LPL Financial (2013-2017) The Allegations According to his publicly available FINRA BrokerCheck report, Louis Mark Miller was officially sanctioned by FINRA in July 2019. The findings in this matter…

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Nicholas Schiano Allegedly Breaches His Fiduciary Duty

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The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Nicholas Schiano. According to his publicly available FINRA BrokerCheck report, Nicholas Schiano has been the subject of multiple customer disputes over the course of his career. Nicholas Schiano is a New York based securities broker. He has worked in the securities industry for eighteen years. During his career, he has been registered with eleven different securities firms. His Registrations G&L Partners (2001-2005) Gunnallen Financial (2005-2006) J.P. Turner & Company (2006-2007) E*Trade Securities (2007-2008) Chase Investment Services Corp. (2008-2010) Citigroup Global Markets (2010-2011) Brookstone Securities…

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Steven Case Allegedly Recommends Unsuitable “Alternative” Investments

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The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Steven Case. According to his publicly available FINRA BrokerCheck report, Steven Case has been the subject of multiple customer disputes. Steven Case is a Michigan based securities broker. He has worked in the securities industry for thirty years. During his career, he has been registered with eleven different securities firms. His Registrations Selective Security Trust Financial Corp. (1989) Investor Strategies (1989-1990) PML Securities Company (1990-1993) Princor Financial Services (1993) Mariner Financial Services (1993-1994) Titan/Value Equities Group (1994-1995) Vestax Securities (1995-1998) ING Financial Partners (1998-2004)…

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