THOMAS CAMERON OAKES

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/26/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011025857802 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Thomas C. Oakes, Respondent Registered Representative CRD No. 1354152 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if
Reference 2011025857802data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/19/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058426501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Thomas C. Oakes, Respondent Former Registered Representative CRD No. 1354152 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of
Reference 2018058426501data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1354152

Other names1

Also known as1

Thomas C. Oakes

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