The attorneys at Oakes & Fosher regularly appear in news articles and other media coverage involving securities and/or arbitration awards, including The Wall Street Journal, Reuters and Bloomberg News. Below are a few examples:

Katherine Nishnic Allegedly Makes Material Misrepresentations

The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Katherine Nishnic. According to her publicly available FINRA BrokerCheck report, Katherine Nishnic has been the subject of multiple customer complaints over the course of her career. Katherine Nishnic is a South Carolina based securities broker. She has worked in the securities industry for twenty-five years. During her career, she has been registered with six different securities firms. Her Registrations Merrill Lynch (1994-1997) D.E. Frey & Company (1997-2000) First Allied Securities (2000-2008) Gunnallen Financial (2008-2010) J.P. Turner & Company (2010-2015) Centaurus Financial (2015-Preset) The Allegations …

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William B. Baum Allegedly Fails To Recommend Suitable Investments

The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker William B. Baum. According to his publicly available FINRA BrokerCheck report, William B. Baum has been the subject of multiple customer disputes over the course of his career. William B. Baum is a Kansas based securities broker. He has worked in the securities industry for thirty-three years. During his career, he has been registered with six different securities firms. His Registrations M.L. Stern & Co. (1985-1986) General Securities Corp. (1987-1992) Dain Bosworth Incorporated (1992-1994) George K. Baum & Company (1994-1998) First Union Securities (1998-2001)…

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Thomas H. Lawrence III Allegedly Makes Fraudulent Misrepresentations

The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Thomas H. Lawrence III. According to his publicly available FINRA BrokerCheck report, Thomas H. Lawrence III has been the subject of multiple customer disputes. Thomas H. Lawrence III was a Tennessee based securities broker. He worked in the securities industry for twenty-seven years. During his career, he was registered with four different securities firms. He is no longer working as a registered securities broker in any fashion. His Registrations Advantage Capital Corporation (1989-1990) H.D. Vest Investment Securities (1990-1991) Carillon Investments (1991-2006) Ameritas Investment…

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Michael Barry Carter Allegedly Misappropriates Customer Funds

The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Michael Barry Carter. According to his publicly available FINRA BrokerCheck report, Michael Barry Carter has been the subject of multiple customer complaints connected to alleged fund misappropriation. Michael Barry Carter was a Virginia based securities broker. He worked in the securities industry for eighteen years. During his career, he was registered with four different securities firms. He is no longer working as a registered securities broker in any fashion. His Registrations Dean Witter Reynolds (1999-2000) Financial Network Investment Corporation (2000-2002) Merrill Lynch (2002-2006)…

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Donald Teboe Barred By FINRA Following Allegations Of Unsuitable Trading

The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Donald Teboe. He was a Michigan based securities broker. He worked in the securities industry for fifteen years. During his career, he was registered with seven different securities firms. Donald Teboe is no longer working as a registered securities broker in any fashion. His Registrations Questar Capital Corporation (2002) Tower Equities (2002-2003) Regis Securities (2003-2006) Cullum & Burks Securities (2006-2009) Royal Securities (2009-2013) Questar Capital Corporation (2013-2014) Cantella & Co. (2014-2018) The Allegations In September 2019, Donald Teboe was officially barred by FINRA…

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Kevin Gunnip Barred Following Allegations Of Excessive Trading

The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Kevin Gunnip. According to his publicly available FINRA BrokerCheck report, Kevin Gunnip has been the subject of multiple customer disputes. Kevin Gunnip was a Texas based securities broker. He worked in the securities industry for twenty-two years. He spent his entire career registered with Morgan Stanley between 1996 and 2018. He is no longer working as a registered securities broker in any fashion. The Allegations In June 2016, customers alleged that Kevin Gunnip recommended unsuitable investments. This case was settled for $150,000 in…

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Robert Kahn Allegedly Engages In Excessive Trading

The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Robert Kahn. According to his publicly available FINRA BrokerCheck report, Robert Kahn has been the subject of multiple customer disputes over the course of his career. Robert Kahn was a Missouri based securities broker. He worked in the securities industry for twenty-three 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  Edward Jones (1994-2016) Moloney Securities (2016-2017) The Allegations In August 2016, a customer alleged…

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Lance Ziesemer Allegedly Institutes A Highly Unnecessary Short-Term UIT Trading Strategy

The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Lance Ziesemer. According to his publicly available FINRA BrokerCheck report, Lance Ziesemer has been the subject of multiple customer disputes. Lance Ziesemer was a Minnesota based securities broker. He worked in the securities industry for twenty-two years. During his career, he was registered with four different securities firms. He is no longer working as a registered securities broker in any fashion. His Registrations Westonka Investments (1993) H&R Block Financial Advisors (1993-2001) Wachovia Securities (2001-2007) Feltl & Company (2007-2016) The Allegations In January 2013,…

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Benjamin Lowder Allegedly Solicits Investments For Fictitious Entities

The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Benjamin Lowder. According to his publicly available FINRA BrokerCheck report, Benjamin Lowder has been the subject of multiple complaints. Benjamin Lowder was a North Carolina based securities broker. He worked in the securities industry for eighteen 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 Jefferson Pilot Securities (1998-2000) Metropolitan Life Insurance (2000-2007) MSI Financial Services (2000-2017) The Allegations Benjamin Lowder is currently the subject…

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James Lamont Recommends Customers Invest In The Fraudulent Woodbridge Group

The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker James Lamont. According to his publicly available FINRA BrokerCheck report, James Lamont has been the subject of multiple customer complaints. James Lamont was a California based securities broker. He worked in the securities industry for twenty-two years. During his career, he was registered with five different securities firms. He is no longer working as a registered securities broker in any fashion. His Registrations Fortis Investors (1997) Walnut Street Securities (1997-2002) Sammons Securities Company (2002-2006) Independent Financial Group (2006-2015) Whitehall-Parker Securities (2015-2019) The Allegations…

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