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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
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2021 RULEMAKING
Order Adopting New Emergency Rule
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Information about Oklahoma Entities and old Stock Certificates
 
 8/2/2021 8:01:33 AM 
 
     
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