Last Updated: November 2023 (Corpus Christi, Texas)
James T. Oakley Investigation Summary
Here’s what you need to know about Corpus Christi, TX, stockbroker James Ted Oakley:
- Name: Mr. James Theodore Oakley
- Current Employer: Herndon Plant Oakley Ltd. , Oxbow Advisors (RIA)
- Previous Firms: Dain Rauscher Inc.
- Function: Stock Broker/ Financial Advisor/ Registered Investment Advisor
- Aliases: James T. Oakley, James Terry Oakley, Ted Oakley
- Primary Location: Corpus Christi, TX
- CRD 813008
- Can James T. Oakley be sued in FINRA arbitration: Yes
- Sanctioned by FINRA (NASD): Yes
- Currently Pending SEC Investigation: Yes
- Highest Settlement or Award: $50,000
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With James T. Oakley As Your Stockbroker?
In 5/2023 the United States Securities and Exchange Commission notified James T. Oakley that they are considering instituting action alleging violations of Secitons 10(b) of the Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder. This investigation is currently pending.
Early in his career a customer of Dain Rauscher was paid $50,000 to resolve allegations that James Oakley recommended unsuitable investments, churned their account and committed fraud.
Allegations of Broker Misconduct Against James T. Oakley
A customer of James T. Oakley alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendations
- Churning
- Securities Fraud
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by James T. Oakley, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.