Google powered site search:
Person or Entity Search:
 
Page loaded as of 11/1/2014 12:06:00 AM
What is the Oklahoma Securities Commission?
   
Recent Enforcement Actions
Coleman, Vernon Donell and CoMo Marketing, LLC
Final Order, Juegment and Permanent Injunction    Filed: 10/31/2014
Stipulation and Consent to Final Order    Filed: 10/28/2014
Watkins, Rodney Larry Jr. [CRD 3091936]
Respondents' Petition for Review of Administrator's Order to Cease and Desist and Imposing Civil Penalty    Filed: 10/24/2014
Notice of Appeal    Filed: 10/22/2014
Hammons, Jim Jay [CRD 4451341]
Patricia Reynolds’ Response to Subpoena Duces Tecum    Filed: 10/17/2014
Enforcement Division’s Application for Issuance of Subpoena Duces Tecum to Tracy Hammons    Filed: 10/17/2014
2001 Trinity Fund, LLC and Arrowood, Robert C.
Commission to take Deposition of William F. Byrd    Filed: 10/15/2014
Watkins, Rodney Larry Jr. [CRD 3091936]
Order to Cease and Desist and Imposing a Civil Penalty    Filed: 10/10/2014
Accelerated Benefits Corp. and Romine, William W. (Bill) and American Financial Associates
Notice of Hearing [10/31/14 @ 9:00 a.m.] on Interim Application for Order Approving Conservator's Fees and Expenses for May through September 2014; and Interim Application for Order Approving Attorney's Fees for May through September 2014    Filed: 10/8/2014
Conservator's Report for May through September 2014    Filed: 10/8/2014


2013 Investment Adviser
Briefing & Update