204 North Robinson Avenue, Suite 400, Oklahoma City, Oklahoma  73102-7001 |  (405) 280-7700  | Fax: (405) 280-7742
Act & Rules
Commission Reports
Document Upload
SEC's IA Public Disclosure Site
FINRA's Broker Check Site
Recent Enforcement Actions
Morales Wealth Management, LLC and Morales, Samuel Tino 
Final Order to Cease and Desist    Filed: 6/18/2019
Woodbridge Group of Companies, LLC (The) and Moore, Robert  
Agreement [Robert Duayne Moore]    Filed: 6/6/2019
Investment Counseling Services, Inc. and Kingsbery, Terry Clent 
Order    Filed: 5/17/2019
Agreement    Filed: 5/17/2019
T.S. Phillips Investments, Inc. and Phillips, Thompson and Man, Michael 
Order Setting Hearing [TSP Respondents]    Filed: 5/9/2019
Nimmo, J. Michael and Covenant Benefits Group, LLC and Bray Jr., Charles E. 
Order Granting Ancillary Relief    Filed: 5/8/2019
Motion for Ancillary Relief against J. Michael Nimmo and Brief in Support    Filed: 5/2/2019
Stipulation and Consent of J. Michael Nimmo    Filed: 5/2/2019
McKRoll Capital International, LLC and McKittrick, Carl C. II and McKittrick, Carl 
Notice of Renewal of Statement of Judgment    Filed: 4/29/2019
GTP Financial 
Agreement; Final Order to Cease and Desist    Filed: 4/19/2019
Notice of Data Breach
 6/18/2019 8:46:35 PM