Enforcement Actions  
 
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Cuna Brokerage Services, Inc. and Sanford, Paul R. , Jr. 
  Agreement    Filed: 9/18/2014
Hammons, Jim Jay [CRD 4451341] 
  Department's First Request for Production of Documents from Respondent    Filed: 9/17/2014
J.P. Morgan Securities, LLC 
  Consent Order    Filed: 9/11/2014
Seabrooke Realty and Seabrooke, Tom 
  Supplemental Order (Supplementing     Filed: 9/11/2014
Alexander, Jerome [CRD 2885335] 
  Agreement [Jerome A. Alexander]    Filed: 9/9/2014
  Final Order [Jerome A. Alexander]    Filed: 9/9/2014
Seabrooke Realty and Seabrooke, Tom 
  Order Modifying Relief    Filed: 9/9/2014
2001 Trinity Fund, LLC and Arrowood, Robert C. 
  Defendant Robert Arrowood's Notice of Withdrawal of Third-Party Petition    Filed: 9/8/2014
Hammons, Jim Jay [CRD 4451341] 
  Amended Scheduling Order    Filed: 9/8/2014
Seabrooke Realty and Seabrooke, Tom 
  Temporary Injunction and Ancillary Relief    Filed: 9/5/2014
  Quail Creek Bank's Application for Emergency Order Permitting Intervention and Brief in Support    Filed: 9/5/2014
  Order Setting Hearing on Quail Creek Bank's Application for Emergency Order Permitting Intervention    Filed: 9/5/2014
  Notice of Hearing [9/9/14 @ 9:00 a.m.] regarding Quail Creek Bank's Application to Intervene    Filed: 9/5/2014
  Agreed Order regarding Sale of 917 East 3rd Street, Cushing OK    Filed: 9/4/2014
Hammons, Jim Jay [CRD 4451341] 
  Department's Response to Respondent's First Discovery Requests    Filed: 9/3/2014
Seabrooke Realty and Seabrooke, Tom 
  Interim Application for Order Approving Receiver's Fees and Expenses for the Period of August 2014    Filed: 9/3/2014
  Receiver's Application for Emergency Order on Disposition of Certain Assets of Receivership and for Expedited Hearing    Filed: 9/3/2014
  Notice of Hearing    Filed: 9/3/2014
  Receiver's Application for Order Shortening Rresponse Time and Setting Hearing    Filed: 9/3/2014
Hammons, Jim Jay [CRD 4451341] 
  Agreed Application to Continue Deadlines with Amended Scheduling Order    Filed: 9/2/2014
Seabrooke Realty and Seabrooke, Tom 
  Answer of Defendants    Filed: 8/29/2014
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