The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker James Earl. According to his publicly available FINRA BrokerCheck report, James Earl has been the subject of a customer dispute.

James Earl is a Florida based securities broker. He has worked in the securities industry for thirty-five years. During his career, he has been registered with seven different securities firms.

His Registrations

  • The Stuart-James Company (1984-1985)
  • Norbay Securities (1985-1986)
  • Brooks Weinger Robbins & Leeds (1986-1988)
  • Greentree Securities Corp. (1988)
  • JF Lowe & Company Incorporation (1988-1989)
  • J.B. Hanauer & Co. (1989-2009)
  • RBC Capital Markets (2009-Present)

The Allegations

In November 2018, a customer alleged that James Earl made unsuitable recommendations that they buy and hold highly speculative and risky oil and gas notes. This case went to arbitration where the customer was awarded an undisclosed amount in damages.

Oakes & Fosher Can Help

Many investors are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who have lost money in this fashion may actually be entitled to damages.

Oakes & Fosher dedicates its entire legal practice to helping investors across the nation. If you, or someone you know, have lost money investing with James Earl, please contact Oakes & Fosher for a free and private consultation. We work on a contingency basis, which means there are no fees charged unless we collect for you.