Menu

204 North Robinson Avenue, Suite 400, Oklahoma City, Oklahoma  73102-7001 |  (405) 280-7700  | Fax: (405) 280-7742
 
Act & Rules
 
Commission Reports
 
Press Releases
 
Document Upload
 
SEC's IA Public Disclosure Site
 
FINRA's Broker Check Site
 
   
Recent Enforcement Actions
TL Cross Brokerage, LLC and Cross, Anthony Lynn 
Adobe Image Notice of Service on the Administrator and Affidavit of Compliance; Notice of Opportunity for Hearin    Filed: 7/21/2021
Binary Active Stock Trade 
Adobe Image Final Order [Binary Active Stock Trade]    Filed: 7/13/2021
Charles Winn, LLC 
Adobe Image Judgment [Charles Winn, LLC]    Filed: 6/30/2021
Adobe Image Judgment [Charles Winn, LLC]    Filed: 6/30/2021
Adobe Image Motion for Default Judgment against Charles Winn, LLC    Filed: 6/24/2021
Accelerated Benefits Corp. and Romine, William W. (Bill) and American Financial Associates 
Adobe Image Order Granting Agreed Motion to Approve Settlement Agreement Providing for the Prepayment of Purchas    Filed: 6/11/2021
Berry, Amanda Yvonne 
Adobe Image Petition for Permanent Injunction    Filed: 6/9/2021
Inverse Asset Fund, LLC and Carson, Scott 
Adobe Image Final Order to Cease and Desist    Filed: 6/4/2021
Binary Active Stock Trade 
Adobe Image Cease and Desist Order and Notice of Opportunity for Hearing    Filed: 6/3/2021
FFR Trading 
Adobe Image Order to File Statements and Produce Documents    Filed: 5/24/2021
  
 
ALERT:
FINRA Alerts Firms to Phishing Email From "FINRA Support” From the Domain Name “westour.org"
 
COVID-19 UPDATE
► General Operations
► Electronic Filings Mandate
 
2021 RULEMAKING
► Order Adopting New Emergency Rule
► Orders of Adoption
 
All Enforcement Actions
 
Click here to file a complaint
 
Information about Oklahoma Entities and old Stock Certificates
 
 8/2/2021 8:01:33 AM 
 
     
Required Notice as to Personally Identifiable Data