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:

Brandon Rudolph Barred By FINRA For Allegedly Failing To Comply With An Investigation Into Outside Securities Transactions

Brandon Rudolph was a Nevada based securities broker. He worked in the securities industry for just two years. During his career, he was registered with three different securities firms. His registrations include; Capital City Securities (2014), Chelsea Financial Services (2014-2016), and Wealthforge Securities (2017). He is not currently working as a registered securities broker. Brandon Rudolph’s publicly available FINRA BrokerCheck report shows that he was recently sanctioned by FINRA. The findings in this matter state that Rudolph allegedly refused to provide FINRA with requested information during an investigation into possible participation in private securities transactions outside his member firm. Due…

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Amy Pesina Allegedly Writes Personal Check With Insufficient Funds

Amy Pesina was a Michigan based securities broker. She worked in the securities industry for just one year. She spent that entire year with J.P. Morgan Securities. Amy Pesina’s publicly available FINRA BrokerCheck report shows that she was discharged from her position at J.P. Morgan for allegedly writing a personal check from her affiliate bank account to a third party even though insufficient funds were available. Due to these allegations, she was then sanctioned by FINRA. She allegedly refused to appear for the on-the-record testimony during FINRA’s investigation. Due to those allegations, she was barred from acting as a securities…

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James Knee Was Barred By FINRA For Allegedly Failing To Comply With A FINRA Investigation Into Possible Fund Misappropriation

James Knee was a New Hampshire based securities broker. He  worked in the securities industry for twenty-seven years. During his career, he was registered with ten different securities firms. His registrations included; Hopper Soliday & Co. (1988-1989), W.H. Newbold’s Son & Co. (1989), Invest Financial Corporation (1989-1995), Linsco/Private Ledger Corp. (1995-1998), Raymond James Financial Services (1998-2005), Cantella & Co. (2005-2006), Cambridge Investment Research (2006-2009), Investors Capital Corp. (2009-2012), Ameriprise Financial Services (2012-2015), and Voya Financial Advisors (2015-2016). He is not currently working as a registered securities broker. James Knee’s publicly available FINRA BrokerCheck report shows that he has received multiple…

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Brian Keith Decker Barred By FINRA For Allegedly Failing To Comply With An Investigation Into Possible Fund Conversion

Brian Keith Decker was a New York based securities broker. He worked in the securities industry for ten years. During his career, he was registered with four different securities firms. His registrations included; J.P. Turner & Company (2006-2007), VFinance Investments (2007-2009), Legend Securities (2009-2016), and Worden Capital Management (2017-2018). He is not currently working as a registered securities broker. Brian Keith Decker’s publicly available FINRA BrokerCheck report shows that he has been the subject of numerous customer complaints over the course of his career. In August 2008, a customer alleged unauthorized trading. This case was settled for $6,800. In February…

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Stacy Elizabeth Cheney-Jamison Barred By FINRA For Allegedly Engaging In Private Securities Transactions And Falsifying Client Account Forms

Stacy Elizabeth Cheney-Jamison was a Florida based securities based broker. Before that she worked primarily out of Gerogia. She worked in the securities industry for fifteen years. During her career, she was registered with eleven different securities firms. Her registrations include; American Express Financial Advisors (2001-2003), IDS Life Insurance Company (2001-2003), Allstate Financial Services (2004), ICMA-RC Services (2004-2005), ING Financial Advisers (2005-2007), MML Investors (2007-2008), Edward Jones (2008-2009), Valic Financial Advisors (2009-2013), First American Securities (2013-2015), IFS Securities (2015), and Cuna Brokerage Services (2016-2017). She is not currently working as a registered securities broker. Stacy Elizabeth Cheney-Jamison’s publicly available FINRA…

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Vaughn Lee Andrews-McKay Allegedly Converts Almost $50,000 From Multiple Customers

Vaughn Lee Andrews-McKay was a Connecticut based securities broker. He worked in the securities industry for just two years, spending it at Pruco Securities. Vaughn Lee Andrews-McKay’s publicly available FINRA BrokerCheck report shows that he has multiple red marks on his record. In May 2018, he was sanctioned by FINRA. The findings in this matter state that Andrews-McKay allegedly converted $47,748.19 from clients at his member firm. $29,648.19 of the total amount was obtained by convincing clients to write personal checks made out to him which he promised would satisfy certain financial obligations of theirs. Instead, he allegedly deposited the…

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Brian Panfil Allegedly Makes Unsuitable Mutual Fund Switch Recommendations

Brian Panfil was an Illinois based securities broker. He worked in the securities industry for twelve years. During his career, he was registered with eight different securities firms. His registrations include; American Century Investment Services (2002-2003), Ameriprise Financial Services (2003-2006), IDS Life Insurance Company (2003-2006), Caldwell International Securities (2006-2013), Ridgeway & Conger (2013-2015), Paulson Investment Company (2015), Kingsbury Capital (2015), and Institutional Securities (2015). He is not currently working as a registered securities broker. Brian Panfil’s publicly available FINRA BrokerCheck report shows that he was sanctioned by FINRA in November 2017. The findings in this matter state that he allegedly…

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Carlos Velazquez Terminated From Waddell & Reed For Not Disclosing Outside Business Activities

Carlos Velazquez was an Illinois based securities broker. He worked in the securities industry for four years. During his career he was registered with four different securities firms. His registrations include; Chase Investment Services (2012), J.P. Morgan Securities (2012-2015), PNC Investments (2015-2016), and Waddell & Reed (2016). Carlos Velazquez’ publicly available FINRA BrokerCheck report shows that he was sanctioned by FINRA in May 2018. The findings in this matter state that he was allegedly involved in an outside business without providing full prior notice to, or acquiring approval from, his member firm. The findings also state that he allegedly provided inaccurate…

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Louis Telerico Allegedly Churns A Client’s Account

Louis Telerico was an Ohio based securities broker. He worked in the securities industry for forty-six years. During his long career, he was registered with five different securities firms. His registrations include; Merrill Lynch (1969-1971, 1973-2006), Blyth Eastman Dillon & Co. (1971-1973), Butler, Wick & Co. (2008-2009), Stifel, Nicolaus & Company (2009-2012), and Westminster Financial Securities (2012-2016). Louis Telerico’s publicly available FINRA BrokerCheck report shows that he has been the subject of numerous customer complaints over the course of his career. In May 2001, a customer alleged that Telerico did not invest accounts consistent with the recommendations contained in a…

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Brian John Hussey Jr. Allegedly Recommends Unsuitable Investments In Marijuana Penny Stocks

Brian John Hussey Jr. is a Florida based securities broker. He has worked in the securities industry for ten years. He has spent his entire career with Ameriprise Financial Services. Brian John Hussey Jr.’s publicly available FINRA BrokerCheck report shows that inn May of 2018 he was sanctioned by FINRA. The findings in this matter state that Brian John Hussey Jr. allegedly recommended to a customer that she sell 100 percent of the mutual fund positions in her IRA accounts and subsequently invest the proceeds from the sale in marijuana penny stocks. Hussey allegedly violated Ameriprise’s policies regarding soliciting transactions…

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