Heading
Address Footer
204 North Robinson Avenue, Suite 400, Oklahoma City, Oklahoma  73102-7001 |  (405) 280-7700  | Fax: (405) 280-7742
Menu
 
Act & Rules
 
Commission Reports
 
Document Upload
 
SEC's IA Public Disclosure Site
 
FINRA's Broker Check Site
 
 
Recent Enforcement Actions
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
TMTE, Inc. aka Metals.com and Chase Metals, LLC and Chase Metals, Inc. 
Order to File Statement    Filed: 9/12/2019
  
 
Notice of Data Breach
 
 
 
 
 
 11/12/2019 9:49:14 AM 
 
   
Required Notice as to Personally Identifiable Data