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Recent Enforcement Actions
Gregory, Joe Lawrence and Blue Quail, Ltd. 
ODS' Motion for Summary Judgment    Filed: 11/15/2019
T.S. Phillips Investments, Inc. and Phillips, Thompson and Man, Michael 
Amended Agreement with TSP Respondents    Filed: 11/7/2019
Woodbridge Group of Companies, LLC (The) and Moore, Robert  
Agreement [Michael Lawrence Baldwin]    Filed: 11/5/2019
Jesse Garcia & Associates and Garcia Sr., Jesse Munoz 
Judgment [Jesse Munoz Garcia , Sr.]    Filed: 10/31/2019
ODS' Motion for Default Judgment against Jesse Munoz Garcia, Sr.    Filed: 10/30/2019
Manna Robotics and Smalls, Eric Christian 
Notice of Service on the Administrator and Affidavit of Compliance; Order to Cease and Desist and Notice of Opportunity for Hearing    Filed: 10/30/2019
Gulf Coast Western 
Respondents' Response to Order to File Statement and Replies to Requests for Admission [no attachments]    Filed: 10/10/2019
Cetera Advisors, LLC and McKinney, James Gregory and McKinney, Aaron Scott 
Agreement [Cetera Advisors, LLC]    Filed: 10/3/2019
Bricktown Financial, LLC and Benn, John W. 
Entry of Appearance and Reservation of Time [Douglas D. Wilguess]    Filed: 10/2/2019
Gulf Coast Western 
Order to File Statement and Replies to Requests for Admission    Filed: 9/12/2019
  
 
Notice of Data Breach
 
 
 
 
 
 11/22/2019 1:19:43 AM 
 
   
Required Notice as to Personally Identifiable Data