Enforcement Actions  
 
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Alexander, Jerome [CRD 2885335] 
  Notice of Service on the Administrator and Affidavit of Compliance/Order to Cease and Desist and Notice of Opportunity for Hearing    Filed: 7/25/2014
EM Business Connections and MP Executive Solutions and Grey Bryan Lynn 
  Notice of Service on the Administrator and Affidavit of Compliance; Notice of Opportunity for Hearing on Enforcement Division Recommendation    Filed: 7/25/2014
Hammons, Jim Jay [CRD 4451341] 
  Enforcement Division's Motion for Issuance of Scheduling Order    Filed: 7/25/2014
Watkins, Rodney Larry Jr. [CRD 3091936] 
  Department's Response to Respondents' Motion to Dismiss Supplemental Enforcement Division Recommendation    Filed: 7/25/2014
  Department's Motion for Summary Decision    Filed: 7/23/2014
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, Jim Jay [CRD 4451341] 
  Enforcement Division's Application for Issuance of Subpoena Duces Tecum to Yahoo!    Filed: 7/14/2014
  Enforcement Division's Application for Issuance of Subpoena Duces Tecum to Yahoo!    Filed: 7/14/2014
  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
  ODS' Motion for Leave to Supplement Recommendation    Filed: 6/10/2014
2001 Trinity Fund, LLC and Arrowood, Robert C. 
  Order Denying Defendant Arrowood's Renewed Motion for Summary Judgment    Filed: 5/30/2014
  Commission to take Deposition of William F. Boyd    Filed: 5/30/2014
  Commission to take Deposition of Gary A. Hennersdorf    Filed: 5/30/2014
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