The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Harold Lauber. According to his publicly available FINRA BrokerCheck report, Harold Lauber has been the subject of a customer dispute.

Harold Lauber is a Florida based securities broker. He has worked in the securities industry for forty-four years. During his career, he has been registered with ten different securities firms.

His Registrations

  • Merrill Lynch (1975-1977)
  • Becker Securities (1977-1978)
  • A.G. Becker Incorporated (1978-1979)
  • Drexel Burnham Lambert (1979-1989)
  • Prudential-Bache Securities (1989-1990)
  • Rodman & Renshaw Inc. (1991-1997)
  • A.G. Edwards & Sons (1997-2007)
  • RBC Capital Markets (2007-2015)
  • Herbert J. Sims & Co. (2015-2018)
  • Ameriprise Financial Services (2018-Present)

The Allegations

In August 2017, a customer alleged that they experienced trading losses due to Harold Lauber’s failure to fulfill his fiduciary responsibility. This case was settled for $175,000 in damages.

Oakes & Fosher Can Help

Many investors are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who have lost money in this fashion may actually be entitled to damages.

Oakes & Fosher dedicates its entire legal practice to helping investors across the nation. If you, or someone you know, have lost money investing with Harold Lauber, please contact Oakes & Fosher for a free and private consultation. We work on a contingency basis, which means there are no fees charged unless we collect for you.