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:

James Means Allegedly Engages In Unauthorized Trading

James Means is a Florida based securities broker. He has worked in the securities industry for thirty-eight years. During his career, he has been registered with four different securities firms. His registrations include; Smith Barney (1980-1983), The Milwaukee Company (1983-1988), Dain Rauscher Incorporated (1988-1998), and RBC Capital Markets (1998-Present). James Means’ publicly available FINRA BrokerCheck report shows that he has received two customer complaints over the course of his career. In June 1988, a customer alleged unauthorized trading. This case was settled for $14,000 in damages. In August 2017, a customer alleged that Means sold BMO Bank stock, resulting in…

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Jodie LaMarre Suspended By FINRA Following Allegations Of Poor Investment Advice

Jodie LaMarre was a Florida based securities broker. She worked in the securities industry for twenty-five years. During her career, she was registered with six different securities firms. Her registrations included; Merrill Lynch (1991-1992), A.G. Edwards & Sons (1992-1997), Prudential Securities Incorporated (1997-2003), Wachovia Securities (2003-2008), Robert W. Baird & Co. Incorporated (2008-2015), and Janney Montgomery Scott (2015-2017). She is no longer working as a registered securities broker. Jodie LaMarre’s publicly available FINRA BrokerCheck report shows that she has received multiple customer complaints over the course of her career. In May 2015, a customer alleged that LaMarre gave poor advice…

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Audra Stevenson Allegedly Takes Part In Unauthorized Trading

Audra Stevenson is a Hawaii based securities broker. She has worked in the securities industry for thirteen years. During her career, she has been registered with three different securities firms. Her registrations include; Citigroup Global Markets (2001-2009), Morgan Stanley (2009-2010), and Merrill Lynch (2014-Present). Audra Stevenson’s publicly available FINRA BrokerCheck report shows that she has received a customer complaint in her career. In October 2017, a customer alleged unauthorized trading. This case was settled for $14,500 in damages. Oakes & Fosher dedicates its entire legal practice to helping investors across the nation. If you, or someone you know, have lost…

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Frank Kelly Allegedly Makes Unsuitable Investments

Frank Kelly is a Pennsylvania based securities broker. He has worked in the securities industry for twenty-seven years. During his career, he has been registered with two different securities firms. They are G.R. Phelps & Co. (1991-1995) and HD Vest Investment Services (1995-Present). Frank Kelly’s publicly available FINRA BrokerCheck report shows that he has received multiple customer complaints over the course of his career. In August 2005 a customer alleged loss due to unsuitable investments. This case was settled for $50,000 in damages. Also in August 2005, another customer alleged unsuitable investments. This case was settled for $99,000. In October…

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David Risch Terminated From Santander Securities

David Risch was a Rhode Island based securities broker. He worked in the securities industry for thirteen years. During his career, he was registered with seven different securities firms. His registrations included; Capital Brokerage Corporation (2002-2004), MetLife Securities (2005-2007), Metropolitan Life Insurance Company (2005-2007), Merrill Lynch (2007-2008), Edward Jones (2009-2012), Park Avenue Securities (2012-2015), and Santander Securities (2015-2017). He is no longer working as a registered securities broker. David Risch’s publicly available FINRA BrokerCheck report shows that his career as a securities broker came to an and in October 2017, when he was terminated from Santander Securities. This termination followed…

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James Clay Allegedly Takes Part In An Undisclosed And Unapproved Outside Business Activity

James Clay was a Tennessee based securities broker. He worked in the securities industry for just seven years. During his career, he was registered with three different securities firms. His registrations include; Edward Jones (2010-2012), U.S. Bancorp Investments (2012-2014), and CUSO Financial Services (2014-2017). He is no longer working as a registered securities broker in any fashion. James Clay’s publicly available FINRA BrokerCheck report shows that in October 2017, he was sanctioned by FINRA. The findings in the matter state that he allegedly engaged in an undisclosed and unapproved outside business activity. This particular activity involved the acquisition and management…

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Jonathan Lonske Allegedly Makes Unsuitable Investment Recommendations

Jonathan Lonske is a Massachusetts based securities broker. He has worked in the securities industry for twenty-two years. During his career, he has been registered with five different securities firms. His registrations include; Gruntal & Co. (1996), Merrill Lynch (1996-1999), UBS Painewebber (1999-2001), Morgan Stanley (2001-2008, 2009-Present), and Citigroup Global Markets (2008-2009). Jonathan Lonske’s publicly available FINRA BrokerCheck report shows that he has received multiple customer complaints over the course of his career. In April 2001, a customer alleged that the investments in their accounts were not suitable for a retirement portfolio. They also alleged that Lonske misrepresented information about…

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Drew Wiener Allegedly Churns Client’s Accounts

Drew Wiener is a New York based securities broker. He has worked in the securities industry for thirteen years. During his career, he has been registered with four different securities firms. His registrations include; Gunnallen Financial (2005), JHS Capital Advisors (2005-2010), Rockwell Global Capital (2010-2015), and SW Financial (2015-Present). Drew Wiener’s publicly available FINRA BrokerCheck report shows that he has received multiple customer complaints in his career. In March 2009, a customer alleged misrepresentation, fraud, churning, negligence, breach of fiduciary duty, and breach of contract. This case was settled for $75,000 in damages. In October 2017, a customer alleged churning,…

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Lindsey Riley Allegedly Breaches Her Fiduciary Duty

Lindsey Riley was a California based securities broker. She worked in the securities industry for twenty-seven years. During her career, she was registered with six different securities firms. Her registrations included; The Stuart-James Company (1987-1988), H.J. Meyers & Co. (1988-1998), The Agean Group (1998-2000), National Securities Corporation (2000), Interfirst Capital Corporation (2000-2002), and First Allied Securities (2002-2015). She is no longer working as a registered securities broker in any fashion. Lindsey Riley’s publicly available FINRA BrokerCheck report shows that she has received multiple customer complaints over the course of her career. In April 2002, a customer alleged negligence, recklessness, churning,…

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Steve Morris Terminated From Wynston Hill Capital

Steve Morris was a New York based securities broker. He worked in the securities industry for twenty years. During his career, he was registered with seven different securities firms. His registrations included; Ladenburg Capital Management (1997-2004), Granite Associates (2004-2006), Whitaker Securities (2006-2009), Brookville Capital Partners (2009-2012), PHX Financial (2013-2014), Halcyon Cabot Partners (2015), and Wynston Hill Capital (2016-2018). He is no longer working as a registered securities broker. Steve Morris’ publicly available FINRA BrokerCheck report shows that he has received multiple customer complaints over the course of his career. In February 2009, a customer alleged securities fraud, common law fraud,…

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