204 North Robinson Avenue, Suite 400, Oklahoma City, Oklahoma  73102-7001 |  (405) 280-7700  | Fax: (405) 280-7742
 
Recent Enforcement Actions
LPL Financial
Administrative Consent Order    Filed: 3/18/2019
Neely, John Huey
Agreement and Order of Censure    Filed: 3/15/2019
Garcia Sr., Jesse Munoz
Petition for Permanent Injunction and Other Relief    Filed: 3/5/2019
GTP Financial
Order to Cease and Desist and Notice of Opportunity for Hearing    Filed: 3/1/2019
Morales Wealth Management, LLC and Morales, Samuel Tino
Order to Cease and Desist and Notice of Opportunity for Hearing    Filed: 3/1/2019
Accelerated Benefits Corp. and Romine, William W. (Bill) and American Financial Associates
Order Granting Agreed Motion to Compel Conservator to Permit Certain Policies to Lapse or to Terminate Such Policies    Filed: 2/26/2019
Notice of Hearing [3/29/19 @ 9:00 a.m.] on Conservator's Fees and Expenses and Attorney's Fees for October 2018 through January 2019    Filed: 2/25/2019
Cucinella, John N.
Agreement and Agreed Order to Cease and Desist    Filed: 2/22/2019
Accelerated Benefits Corp. and Romine, William W. (Bill) and American Financial Associates
Conservatorís Response to Acheronís Motion to Compel Conservator to Permit Certain Policies to Lapse or to Terminate Such Policies    Filed: 2/21/2019
Agreed Motion to Compel Conservator to Permit Certain Policies to Lapse or to Terminate Such Policies    Filed: 2/21/2019
  
 
2018 RULEMAKING
New Rules and Amendments were effective on November 1, 2018
 








 3/24/2019 4:27:22 AM