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:

Judith Johnston Allegedly Misrepresents Details Regarding Purchased Variable Annuities To Multiple Customers

Judith Johnston was a Texas based securities broker. She worked in the securities industry for seven years. She spent her entire career registered with just NYLIFE Securities. She is no longer working as a registered securities broker in any fashion. Judith Johnston’s publicly available FINRA BrokerCheck report shows that she received multiple customer complaints over the course of her career. In December 2016, customers alleged that Judith Johnston misrepresented the details of Variable Annuities that she sold to them. This case was settled for $95,982 in damages. In March 2017, customers alleged that Judith Johnston was complicit in her husband’s…

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Wayne Ford Accused Of Unsuitability

Wayne Ford was a New York based securities broker. He worked in the securities industry for eighteen years. During his career, he was registered with sixteen years. His registrations included; Continental Broker-Dealer Corp. (1997-1998), Tasin & Company (1998), Whitehall Wellington Investments (1998-2000), Harrison Securities (2001-2003), Continental Broker-Dealer Corp. (2003-2004), Granite Associates (2004), Benson York Group (2004), Ehrenkrantz King Nussbaum (2004-2005), J.P. Turner & Company (2004-2005), Westrock Advisors (2005-2006), Empire Financial Group (2006-2007), New Castle Financial Services (2007-2009), First Midwest Securities (2009), Brookstone Securities (2009-2011), Rockwell Global Capital (2011), and Salomon Whitney Financial (2011-2016). He is no longer working as a…

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Henry Watson Allegedly Charges A Customer Excessive Commissions

Henry Watson was a South Carolina based securities broker. He worked in the securities industry for thirty-one years. During his career, he was registered with eight different securities firms. His registrations included; Painewebber Incorporated (1984-1989), Raymond James & Associates (1989-1991), Nationsbanc Securities (1991-1993), Nations Securities (1993-1998), Banc of America Investment Services (1998-2000), Edgar M. Norris & Co. (2000), Scott & Stringfellow (2001-2012), and J.J.B. Hilliard, W.L. Lyons (2012-2016). He is no longer working as a registered securities broker in any fashion. Henry Watson’s publicly available FINRA BrokerCheck report shows that he has received multiple customer complaints over the course of…

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Robert Hart Allegedly Over-Concentrates A Customer’s Portfolio In Unsuitable Investments

Robert Hart is a New Jersey based securities broker. He has worked in the securities industry for twenty-six years. During his career, he has been registered with seven different securities firms. His registrations include; The Equitable Life Assurance Society of the United States (1993-1994), Equico Securities (1993-1994), Morgan Stanley (1994-2004), UBS Financial Services (2004-2008), RBC Capital Markets (2008-2012), Wells Fargo Clearing Services (2012-2017), and Morgan Stanley (2017-Present). Robert Hart’s publicly available FINRA BrokerCheck report shows that he has received multiple complaints over the course of his career. In July 2002, a customer alleged that Robert Hart breached his fiduciary duty….

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Noel Vincent Allegedly Recommends Highly Unsuitable, Illiquid, and Speculative Direct Private Investments

Oakes & Fosher is interested in hearing from investors that lost money investing with Noel Vincent. Our firm has filed a claim against this individual on behalf of one of his former customers, and we believe that there are even more investors out there who have lost money investing with him. Noel Vincent was a FINRA registered securities broker who worked in the securities industry for twenty-eight years. During his career, he has been registered with a total of six securities firms. These registrations included; Aragon Financial Services (1989-1996), AAG Securities (1997-1998), Planmember Securities Corporation (1999-2001), Investors Capital Corp. (2001-2009),…

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Noel Vincent Allegedly Recommends Unsuitable, Alternative Investments

Noel Vincent was a Michigan based securities broker. He worked in the securities industry for twenty-eight years. During his career, he was registered with six different securities firms. His registrations included; Aragon Financial Services (1989-1996), AAG Securities (1997-1998), Planmember Securities Corporation (1999-2001), Investors Capital Corp. (2001-2009), Madison Avenue Securities (2009-2018), and Ele Wealth Advisors (2018). He is no longer working as a registered securities broker in any fashion. Noel Vincent’s publicly available FINRA BrokerCheck report shows that he has received multiple customer complaints over the course of his career. In April 2013, a customer alleged that Noel Vincent sold them…

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James Bashaw Allegedly Churns His Client’s Account

James Bashaw is a Texas based securities broker. He has worked in the securities industry for thirty-three years. During his career, he has been registered with eleven different securities firms. His registrations include; Merrill Lynch (1984-1986), Kidder, Peabody & Co. (1986-1988), Thomas F. White & Co. (1991), First America Equities Corp. (1990-1991), August Securities Corp. (1991-1994), Suntrust Equitable Securities (1994-1998), J.C. Bradford & Co. (1998-2000), UBS Painewebber Inc. (2000-2001), LPL Financial (2001-2014), Wunderlich Securities (2014), and International Assets Advisory (2014-Present). James Bashaw’s publicly available FINRA BrokerCheck report shows that he has received multiple customer complaints over the course of his…

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John Forrester Accused Of Negligence And Breach Of Contract

John Forrester is a Florida based securities broker. He has worked in the securities industry for thirty-seven years. During his career, he has been registered with eleven different securities firms. His registrations include; Herzfeld & Stern (1981), Fittin, Cunningham & Lauzon (1981-1982), Cralin & Co. (1982), Arch W. Roberts & Co. (1982-1984), Richardson Greenshields Securities (1984), Thomson McKinnon Securities (1984-1988), Prudential Securities Incorporated (1988-1991), Dean Witter Reynolds (1991-1995), Thos. K. Wasserman & Associates (1995-1999), Wasserman & Associates (2000-2010), and Newbridge Securities Corporation (2010-Present). John Forrester’s publicly available FINRA BrokerCheck report shows that he has received multiple customer complaints over the…

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Craig Sherrer Allegedly Breaches His Fiduciary Duty

Craig Sherrer is a New York based securities broker. He has worked in the securities industry for seven years. During his career, he has been registered with three different securities firms. His registrations include; Investors Capital Corp. (2011-2012), Newbridge Securities Corporation (2012-2018), and Janney Montgomery Scott (2018-Present). Craig Sherrer’s publicly available FINRA BrokerCheck report shows that he is currently the subject of a pending customer complaint. In April 2019, a customer alleged breach of fiduciary duty, breach of contract, and negligence. The customer is seeking $1.5 million in damages. Oakes & Fosher dedicates its entire legal practice to helping investors…

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Thomas Marino Allegedly Makes Inappropriate And Unsuitable Investments

Thomas Marino is a Florida based securities broker. He has worked in the securities industry for seventeen years. During his career, he was registered with seven different securities firms. His registrations included; A.G. Edwards & Sons (2001-2005), Morgan Stanley (2005-2008), Summit Brokerage Services (2008-2009), Newbridge Securities Corporation (2009), J.W. Cole Financial (2009-2012), and R.M. Stark & Co. (2012-Present). Thomas Marino’s publicly available FINRA BrokerCheck report shows that he is currently the subject of a pending customer complaint. In April 2019, a customer alleged that Thomas Marino made inappropriate and unsuitable investments given her investment objectives and risk tolerance. This case…

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