Please Note: By order of the Governor, our offices will be Closed  Monday, September 01, 2014 for Labor Day.
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What is the Oklahoma Securities Commission?
   
Recent Enforcement Actions
Hammons, Jim Jay [CRD 4451341]
Enforcement Division's Application for Reissuance of Subpoena Ad Testificandum to Patricia Reynolds    Filed: 8/26/2014
Notice of Deposition [Jim J. Hammons]    Filed: 8/26/2014
2001 Trinity Fund, LLC and Arrowood, Robert C.
Exhibit A to Department's Motion to Strike Third Party Petition filed on August 21-2014    Filed: 8/25/2014
Hammons, Jim Jay [CRD 4451341]
Respondent's Preliminary Witness and Exhibit List    Filed: 8/25/2014
Entry of Appearance [P.R. Tirrell]    Filed: 8/25/2014
2001 Trinity Fund, LLC and Arrowood, Robert C.
ODS' Motion to Strike Third Party Petition [Hearing 9/17/14 2 9:00 a.m.]    Filed: 8/21/2014
Strickland, Lynn
Final Order to Cease and Desist    Filed: 8/21/2014
Hammons, Jim Jay [CRD 4451341]
Enforcement Division's Amended Preliminary Lists of Witnesses, Documents and Exhibits [Redacted]    Filed: 8/19/2014
Enforcement Division's Amended Preliminary Lists of Witnesses, Documents and Exhibits [Redacted]    Filed: 8/19/2014
Enforcement Division's Application for Issuance of Subpoena Duces Tecum to Microsoft Corporation    Filed: 8/19/2014


2013 Investment Adviser
Briefing & Update