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What is the Oklahoma Securities Commission?
   
Recent Enforcement Actions
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


2013 Investment Adviser
Briefing & Update