Patton, Jr., C. Raymond


  Tulsa, Oklahoma, USA
 +918-586-8523
 +918-586-8623
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Ray Patton’s primary areas of practice are securities law, corporate, mergers and acquisitions, regulatory compliance and securities litigation.

Mr. Patton has more than thirty years of experience in corporate and securities law ranging from enforcement and registration experience as a government regulator, and both corporate securities transactional matters and securities litigation in private practice.  He began his career in the mid-seventies at the Oklahoma Securities Commission and served as Associate General Counsel-Enforcement Division, and Director of Registration and General Counsel-Registration Division. After several years of private securities practice in Oklahoma City, he returned to the Commission in 1984 and served as Administrator of the Commission and the Department of Securities.  As the Oklahoma Administrator, he also served as Chairman of the Regulatory Liaison Section; Chairman of the Uniform Securities Act Committee; and, Vice-Chairman of the Oil and Gas Programs Committee for the North American Securities Administrators Association.  After returning to private securities practice in Tulsa in 1986, Mr. Patton served as the first Chairman of the Oklahoma Capital Investment Board from 1987 through 1990.

Mr. Patton has represented hundreds of issuers in connection with capital raising efforts from private placements to publicly registered offerings.  He has served in the capacity of outside primary counsel for many public and private corporations and has been responsible for providing general corporate and business representation in the fields of multi-state mergers and acquisitions; development and distribution contractual matters; securities law; lender compliance; and litigation management.  Clients represented by Ray have been involved in equipment manufacturing, government defense contracting, the oil and gas industry, including exploration, production, and distribution; computer software and peripheral manufacturing; the financial services industry, including securities brokerage, investment advisory, banking and insurance; and, Indian Tribal financing and gaming activities.  He has represented numerous local, regional and national brokerage firms, investment advisors, investment funds and other financial organizations in initial organization and licensing matters as well as ongoing regulatory compliance and enforcement matters.  Mr. Patton has defended brokerage firms, their principals and registered representatives, attorneys, accountants, and other professionals from private securities law claims and administrative, civil, and criminal claims brought by the SEC, State Securities Agencies, NASD, FTC, CFTC, NYSE, and many others.  He was one of five initial Adjunct Settlement Judges for the United States District Court in Tulsa beginning in 1988 and served in that capacity for fifteen years.  For more than ten years, Mr.  Patton served as an Adjunct Professor at the University of Tulsa, College of Law, teaching courses in Securities Regulation, Mergers and Acquisitions, and Alternative Dispute Resolution.

Mr. Patton is a graduate of the University of Oklahoma College Of Business Administration with a Bachelor of Business Administration with emphasis in Finance, Securities Markets, and Investment Management.  He received his Juris Doctorate from the University of Oklahoma College Of Law.  Mr. Patton is a frequent speaker at seminars in securities law and business law for business, educational, and professional groups and has been a speaker at SEC enforcement seminars.  He is listed in Best Lawyers in America (Corporate, Mergers and Acquisitions, Securities Law) and in Oklahoma Super Lawyers (Securities Litigation, Securities & Corporate Finance, Business/Corporate).

Education:
  • University of Oklahoma (J.D., 1976; B.B.A. in Finance, 1973)
Bar admissions & years:
  • Oklahoma - 1976
  • U.S. District Court, Northern, Eastern, and Western Districts of Oklahoma
Memberships & Affiliations:
  • Tulsa County Bar Association
  • Oklahoma Bar Association
  • American Bar Association: Oklahoma Liason, State Regulation of Securities Committee
  • U.S. District Court, N.D. of Oklahoma Adjunct Settlement Judge, 1988 to Present
  • Inns of Court, Johnson-Sontag Chapter
Other distinctions:
  • University of Tulsa College of Law Adjunct Professor (ADR, Securities Regulations, Mergers & Acquisitions)
  • Oklahoma Capital Investment Board Chairman 1988 - 1991
  • North American Securities Administrators Association Chairman, Uniform Securities Act Committee, 1985, Regulatory Liaison Section Chairman, 1985 - 1986, and Oil and Gas Program Registrations Committee Vice-Chairman 1984 - 1985
  • Oklahoma Securities Commission Administrator 1984 - 1986, Registrations Division General Counsel and Director of Registrations 1977 - 1978, and Enforcement Division Associate General Counsel 1976 - 1977
  • Listed in the Best Lawyers in America (Corporate, Mergers and Acquisitions, Securities Law)
  • Listed in Oklahoma Super Lawyers (Securities Litigation, Securities & Corporate Finance, Business/Corporate)