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What is the Oklahoma Securities Commission?
Recent Enforcement Actions
Dennis, Keith
NOtice of Service on the Administrator and Affidavit of Compliance; Notice of Opportunity for Hearing on Enforcement Division Recommendation    Filed: 7/21/2014
Hammons, Jimmy Jay [CRD 4451341]
Order Setting Hearing [10/23/14 @ 10:00 a.m.]    Filed: 7/9/2014
Strickland, Lynn
Notice of Service on the Administrator and Affidavit of Compliance; Order to Cease and Desist and Notice of Opportunity for Hearing    Filed: 7/8/2014
Coleman, Vernon Donell and CoMo Marketing, LLC
Petition for Permanent Injunction and other Relief    Filed: 7/3/2014
Hammons, Jimmy Jay [CRD 4451341]
Answer and Request for Hearing [Jim Hammons]     Filed: 6/30/2014
UBS Financial Services, Inc.
Consent Order    Filed: 6/26/2014
Bankers Life & Casualty Co.
Consent Order    Filed: 6/25/2014
ProEquities, Inc.
Consent Order    Filed: 6/25/2014
Watkins, Rodney Larry Jr. [CRD 3091936]
Order granting ODS' motion to supplement the recommendation    Filed: 6/20/2014
Department'sSupplemental Enforcement Division Recommendation    Filed: 6/20/2014

2013 Investment Adviser
Briefing & Update