Vitthal Patel Allegedly Forges Customer Signatures

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The law firm of Oakes & Fosher is presently investigating the alleged misconduct of Vitthal Patel. According to his publicly available FINRA BrokerCheck report, Vitthal Patel has been the subject of a FINRA sanction. Vitthal Patel was a New Jersey based securities broker. He worked in the securities industry for thirty years. He spent his entire career registered with PFS Investments. He is no longer working as a registered securities broker in any fashion. The Allegations Vitthal Patel was officially sanctioned by FINRA in August 2019. The findings in this matter state that Patel forged the electronic signatures of multiple…

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Arlyn Stokesbary Allegedly Engages In Unauthorized Discretionary Trading

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The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Arlyn Stokesbary. According to his publicly available FINRA BrokerCheck report, Arlyn Stokesbary has been the subject of a FINRA sanction. Arlyn Stokesbary was a Minnesota based securities broker. He worked in the securities industry for thirty-one years. During his career, he was registered with two different securities firms. He is no longer working as a registered securities broker in any fashion. His Registrations Lutheran Brotherhood Securities (1987-2002) Thrivent Investment Management (2002-2018) The Allegations Arlyn Stokesbary was officially sanctioned by FINRA in August 2019….

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John Tillotson Allegedly Impersonates Customers Over The Phone

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The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker John Tillotson. According to his publicly available FINRA BrokerCheck report, John Tillotson has been the subject of a FINRA sanction. John Tillotson is a Minnesota based securities broker. He has worked in the securities industry for thirty-four years. During his career, he has been registered with five different securities firms. His Registrations E.F. Hutton & Company (1984-1988) Lehman Brothers (1988-1993) Citigroup Global Markets (1993-2009) Morgan Stanley (2009-2019) Stifel, Nicolaus & Company (2019-Present) The Allegations John Tillotson was officially sanctioned by FINRA in August 2019….

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Scott Riley Allegedly Executes Unauthorized Trades

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The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Scott Riley. According to his publicly available FINRA BrokerCheck report, Scott Riley has been the subject of a FINRA sanction. Scott Riley was a New Hampshire based securities broker. He worked in the securities industry for eleven years. During his career, he was registered with just two different securities firms. His Registrations Waddell & Reed (2006) Edward Jones (2006-2017) The Allegations In August 2019, Scott Riley was officially sanctioned by FINRA. The findings in this matter state that he executed unauthorized trades in…

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Michael Scott Nixon Allegedly Pressures A Customer To Purchase An Unsuitable Equity-Indexed Annuity

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The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Michael Scott Nixon. According to his publicly available FINRA BrokerCheck report, Michael Scott Nixon has been the subject of a customer dispute. Michael Scott Nixon is an Iowa based securities broker. He has worked in the securities industry for ten years. During his career, he was registered with three different securities firms. His Registrations Securian Financial Services (2009-2012) Proequities (2012-2016) Bankers Life Securities (2016-Present) The Allegations In November 2018, a customer alleged that Michael Scott Nixon pressured her into liquidating certain IRA assets and…

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Roger Owens Allegedly Executes Unapproved Private Securities Transactions

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The law firm of Oakes & Fosher is presently investigating the alleged misconduct of Roger Owens. According to his publicly available FINRA BrokerCheck report, Roger Owens has been the subject of a FINRA sanction. Roger Owens operated most recently as a Maryland based securities broker. He worked in the securities industry for twenty-five years. During his career, he was registered with five different securities firms. His Registrations Banner Financial Services Group (1993-1995) Fortis Investors (1994-1997) Uvest Financial Services Group (1997-2005) Legacy Financial Services (2005-2007) Cetera Advisors (2007-2019) The Allegations Roger Owens was officially sanctioned by FINRA in August 2019. The…

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Stephen Kelbick Terminated From Wells Fargo Following Unauthorized Trading Allegations

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The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Stephen Kelbick. According to his publicly available FINRA BrokerCheck report, Stephen Kelbick has been the subject of multiple customer disputes. Stephen Kelbick operated as a Pennsylvania based securities broker. He worked in the securities industry for thirty-one years. During his career, he was registered with five different securities firms. His Registrations Prudential-Bache Securities (1985-1991) Lehman Brothers Inc. (1991-1993) Citigroup Global Markets (1993-2009) Morgan Stanley (2009-2013) Wells Fargo Clearing Services (2013-2017) The Allegations In June 2016, a customer alleged that Stephen Kelbick engaged in…

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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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