Securities Lawyers Blog
The securities lawyers at Gana Weinstein LLP represent investors who have been mistreated by their brokers and suffered investment losses. Our firm is experienced in bringing claims against brokerage firms, such as Oak Hills Securities, Inc., to hold Wall Street responsible for their misconduct. When a client contacts our firm they can expect that our attorneys will have the knowledge and ability to evaluate the potential claims and analyze their trading activity for red flags of misconduct. Our consultations are designed to help provide clients with all available options.
Oak Hills Securities is a broker-dealer firm registered in the United States securities industry. The firm was formed in Oklahoma in 2007.
Oak Hills Securities, Inc. – By the Numbers:
- CRD #: 145579
- Regulatory Events: 2
- Broker Employees: 6
Oak Hills Securities, Inc. – In the News:
FINRA v. Oak Hills Securities, Inc. (Case #2020066756601) – From September 2019 to June 2024, Oak Hills was the exclusive placement agent in seven private placements sold on a best-efforts and all-or-none or part-or-none basis. In each offering, Oak Hills failed to terminate the offering and promptly return investor funds after the minimum contingency amounts had been reduced, in willful violation of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-9 thereunder, and in violation of FINRA Rule 2010. In six private placement offerings between September 2019 and December 2020, Oak Hills failed to escrow investor funds in violation of Exchange Act § 15(c)(2), Rule 15c2-4 thereunder, and FINRA Rule 2010. Finally, in two of the offerings, from November 2019 to February 2021, Oak Hills failed to timely file required documents with FINRA in violation of FINRA Rules 5123 and 2010. For this misconduct, Oak Hills is censured and fined in the amount of $125,000.
Our attorneys have successfully represented hundreds of investors in investment disputes with their brokers and brokerage firms. Our consultations are free and we welcome all inquiries.