A FINRA panel awarded Oakes & Fosher’s clients $300,000 to be paid by New England securities for allegedly failing to supervise a registered broker, Robert M. Smart, that converted of $3 million dollars from multiple investors. Read the full article
The securities firm Stifel Nicolaus was held responsible for employing a registered broker named Kenneth Neely that allegedly operated a Ponzi scheme. Read the full article
One of Oakes & Fosher’s most noteworthy cases where the firm convinced an arbitration panel to award their client $1.2 million. Read the full article
An Oakes & Fosher client was awarded over $1 million dollars by a FINRA panel due to stockbroker misconduct. Read more from Investment News
The same day that an arbitrator last week completed a six-hour hearing on former independent broker Kathleen J. Tarr’s bid to expunge a customer’s complaint about allegedly unsuitable sales of privately-traded REIT sales from her regulatory record, he denied the request. If you have been the victim of securities misconduct, contact our stock broker fraud attorneys today at Oakes & Fosher.
Claimants’ invested in a real estate private placement, Sonoma Ridge Partners, as well as nontraded REITs sponsored by KBS Read more from Investment News
Award is tied to string of cases brought by retirees who said a broker placed them in unsuitable investments. Read more from Investment News
Madison County Treasurer Kurt Prenzler said Monday he agreed to settle a lawsuit he filed against an Arkansas brokerage firm for $340,000…