Advisor Alert: Our Attorneys Are Investigating James Theodore Oakley For Investment Fraud
Did You Lose Money Because of James (Ted) Oakley?
Filed: February 27, 2024
James Oakley (also known as Ted Oakley) has been the subject of one (1) customer complaint and one (1) regulatory event. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.
Let’s begin our Patil Law Advisor Alert with a summary report on James Theodore Oakley.
Who Is James Theodore Oakley of Herndon Plant Oakley, Ltd. and Oxbow Advisors, LLC?
- Advisor Name: James Theodore Oakley
- Aliases: James T Oakley, James Terry Oakley, Ted Oakley
- CRD: 813008
- Location: Corpus Christi and Austin, Texas
- Current Employer: Herndon Plant Oakley, Ltd. and Oxbow Advisors, LLC
- Previous Firms: Dain Rauscher Incorporated
- Number of Known Customer Complaints: 1
- Number of Known Regulatory Events: 1
- Can James Oakley Be Sued: Yes, in Private Arbitration
- Can James Oakley’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
- Highest Damages Allegation: $318,941.36
- Highest Settlement: $50,000
If you have suffered investment losses by James (Ted) Oakley, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.
Customer Complaints Filed Against James (Ted) Oakley For Broker Misconduct
As of this publication date, James Oakley has been the subject of 1 customer dispute and 1 regulatory event. Let’s review them below.
In May 1998, a NASD arbitration was filed against or in reference to James Oakley by a customer of Dain Rauscher Incorporated alleging that Mr. Oakley recommended unsuitable investments, churned accounts, and committed fraud. Per the customer, he/she lost over $318,941.36 because of Mr. Oakley’s actions. On May 22, 1999, Mr. Oakley settled the claim for $50,000, and some or all of this amount may have been paid by Mr. Oakley’s employer and/or insurance carrier.
In May 1984, National Association Of Securities Dealers, Inc. initiated a regulatory action against or in reference to James Oakley for violations of Article III, Section 1 of the rules of fair practice and that Mr. Oakley engaged in private securities transactions outside the scope of his employment with Rotan Mosle, Inc. without prior written notification thereof to his employer in contravention of the Board of Governors’ interpretation with respect to private securities transactions.
How To File A Claim Against James (Ted) Oakley of Herndon Plant Oakley, Ltd. and Oxbow Advisors, LLC (previously with Dain Rauscher Incorporated) To Get Your Money Back
If you have questions about James (Ted) Oakley, Herndon Plant Oakley, Ltd., Oxbow Advisors, LLC, Dain Rauscher Incorporated, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.