Oklahoma Department of Securities is a government organization charged with regulating and enforcing all aspects of the securities business in the state of Oklahoma - Resource center for Firms and Professionals applying for registration in Oklahoma, Oklahoma Investment Company Notice Filing Requirements and investor research and due diligence
http://securities.ok.gov/
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Oklahoma Securities Commission - Department of Securities | securities.ok.gov Reviews
https://securities.ok.gov
Oklahoma Department of Securities is a government organization charged with regulating and enforcing all aspects of the securities business in the state of Oklahoma - Resource center for Firms and Professionals applying for registration in Oklahoma, Oklahoma Investment Company Notice Filing Requirements and investor research and due diligence
securities.ok.gov
About the Oklahoma Securities Commission
http://securities.ok.gov/Commission/commission.asp
IC Notice Permit Letters. Required Reg. Docs. Exam and Testing Info. Charles E. Newton, Chairperson. P David Newsome Jr., Vice Chairperson. Robert M. Neville, Member. Nancy Hyde, Member. Mick Thompson, Ex Officio Member. Irving L. Faught, Administrator. The mission of the Oklahoma Securities Commission is investor protection through the administration and enforcement of the Oklahoma Uniform Securities Act of 2004. The Commission also administers the Oklahoma Business Opportunity Sales Act.
Oklahoma Securities Commission - Enforcement Actions
http://securities.ok.gov/Enforcement/Orders/OrdersByCase.asp?FileNo=12-058
IC Notice Permit Letters. Exam and Testing Info. Watkins, Rodney Larry Jr. [CRD 3091936] and Southeast Investments, N.C., Inc. and Black, Frank H. Order Sustaining the Ruling of the Oklahoma Securities Commission. Response to Petitioners Motion for a Stay and Expedited Ruling [SEI and Black CV-2015-86]. Closing Argument of the Securities Commission. Petitioners' Reply Brief [SEI and Black CV-2015-86]. ODS Response to Petitioners Opening Brief [CV-2015-86]. ODS' Notice of Change of Address. Designation of...
Broker Dealer Registration Instructions - Oklahoma
http://securities.ok.gov/Firms-profs/Brokerdealer.asp
IC Notice Permit Letters. Required Reg. Docs. Exam and Testing Info. Broker/Agent Initial Registration Instructions. As revised July 1, 2004). Firms that are members of the Financial Industry Regulatory Authority (FINRA) are asked not to submit Audited Financial Statements. To the Department as these are no longer required as a post-registration reporting requirement. Audited Financial Statements are only required for Non-FINRA member firms. B) a $300 filing fee for Oklahoma registration. A)(1)(B) of the...
Commission Meeting Agenda
http://securities.ok.gov/Commission/CurrentAgenda/Agenda.asp
IC Notice Permit Letters. Required Reg. Docs. Exam and Testing Info. Your browser does not support inline frames or is currently configured not to display inline frames.
Oklahoma Securities Commission - Enforcement Actions
http://securities.ok.gov/Enforcement/Orders/OrdersDisplay.asp
IC Notice Permit Letters. Exam and Testing Info. Newman, David Perry. Smart Business Pros and Internet Market Masters. Notice of Service on the Administrator and Affidavit of Compliance; Order to Cease and Desist and Notice of Opportunity for Hearing. Accelerated Benefits Corp. and Romine, William W. (Bill) and American Financial Associates. Order Approving Conservator's Report and Conservator's Fees and Expenses for October 2015 through June 2016. Entry of Appearance [Stephen Q. Peters]. Orlando, Troy A.
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Resources | Brooks Investment Professionals
http://www.brooksinvestmentpros.com/resources
He who fails to plan, plans to fail. An investment in knowledge pays the best interest. Be fearful when others are greedy. Be greedy when others are fearful. The investor’s chief problem and even his worst enemy is likely to be himself. The function of economic forecasting is to make astrology look respectable. The individual investor should act consistently as an investor and not as a speculator. Coming together is a beginning. Keeping together is progress. Working together is success. Edmond, OK 73013.
Invest Ed - Investor Education Program, sponsored by the University of Oklahoma OUTREACH College of Continuing Education in partnership with the Oklahoma Securities Commission
http://www.investedok.org/radio/IMcasts2007_1000.asp
Investment Minute 2012 PSAs. Investment Minute Television Series 1. Investment Minute Television Series 2. Catching a Con in Pottawatomie County". NASAA Senior Resource Center. Meet Our STARS Teachers. Links to Outside Resources. Contact the Oklahoma Securities Commission. Investment Minute - 2007 PSA Podcasts. What is Securities Fraud? How Con Artists Work. Divulging Personal Financial Information. Mutual Funds as Investments. Questions to Ask Before Investing. Don't Fall for These. Can you Spot a Con?
John Barbush Law - Securities Fraud
http://johnbarbushlaw.com/trial_lawyer_family_law_corporate_governance/securities-fraud
Why Hire an Oklahoma Super Lawyer? John's Mediator Qualifications. Securities Fraud, Broker Arbitration, Employment Arbitration. John has successfully represented clients in both the Courts and arbitrations based upon unsuitability (placing an investor in an improper investment) and churning (wherein a broker makes a trade simply to generate a commission or fee). This site also provides other useful securities education tools. Fill out my online form. 400 N Walker, Suite 130,. Oklahoma City, OK 73102.
Resources | Hughes Warren Inc.
http://www.hugheswarren.com/resources
Financial and Retirement Planning. Investment Management and Strategies. Here are some useful resources to help you:. Certified Financial Planner Board of Standards, Inc. Http:/ www.cfp.net/. Http:/ www.irs.gov/. Http:/ www.ssa.gov/. Oklahoma Department of Securities. Http:/ www.securities.ok.gov/. Hyperlinks on this website are provided as a convenience and we disclaim any responsibility for information, services or products found on websites linked hereto.
Invest Ed - Investor Education Program
http://www.investedok.org/documentaries/ThePresentation_1000yT.asp
Investment Minute 2012 PSAs. Investment Minute Television Series 1. Investment Minute Television Series 2. Catching a Con in Pottawatomie County". NASAA Senior Resource Center. Meet Our STARS Teachers. Links to Outside Resources. Contact the Oklahoma Securities Commission. Investment Seminars or "Free Lunch" Scams. Senior Investment Specialist Scams. How to Avoid Becoming a Victim. For more information on any of these videos, please contact Jennifer Shaw at 405.280.7736 or jshaw@investedok.org.
Invest Ed - Investor Education Program
http://www.investedok.org/radio/radio_1000.asp
Investment Minute 2012 PSAs. Investment Minute Television Series 1. Investment Minute Television Series 2. Catching a Con in Pottawatomie County". NASAA Senior Resource Center. Meet Our STARS Teachers. Links to Outside Resources. Contact the Oklahoma Securities Commission. Radio projects reach Oklahomans state-wide with unbiased securities education focusing on the investment basics and fraud prevention. Invest Ed. Investment Minute - Classic 130. Listen to the Investment Minute - Classic 130 series.
Invest Ed - Investor Education Program
http://www.investedok.org/Programs.asp
Investment Minute 2012 PSAs. Investment Minute Television Series 1. Investment Minute Television Series 2. Catching a Con in Pottawatomie County". NASAA Senior Resource Center. Meet Our STARS Teachers. Links to Outside Resources. Contact the Oklahoma Securities Commission. Is an award winning, multi-faceted investor education program made possible by the Oklahoma Securities Commission. All programs are produced by the University of Oklahoma Outreach. Investment Minute Radio and Television Series. This aw...
Invest Ed - Investor Education Program
http://www.investedok.org/Seniors_1000.asp
Investment Minute 2012 PSAs. Investment Minute Television Series 1. Investment Minute Television Series 2. Catching a Con in Pottawatomie County". NASAA Senior Resource Center. Meet Our STARS Teachers. Links to Outside Resources. Contact the Oklahoma Securities Commission. NASAA Senior Resource Center. Elder Investment Fraud and Financial Exploitation (EIFFE) Prevention Program. The EIFFE project is a partnership between the Investor Protection Trust (IPT). Elderly suffer as financial abuse grows. As the...
Invest Ed - Investor Education Program
http://www.investedok.org/HSportfolio/FAQ/FAQ_1000.asp
Investment Minute 2012 PSAs. Investment Minute Television Series 1. Investment Minute Television Series 2. Catching a Con in Pottawatomie County". NASAA Senior Resource Center. Meet Our STARS Teachers. Links to Outside Resources. Contact the Oklahoma Securities Commission. Google Finance Portfolio Instructions. Matt Ingram's Video on Building a Portfolio in Google Finance. Has no affiliation with any site mentioned as a resource. Who sponsors this program? What is the purpose of the program? There is abs...
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Oklahoma Securities Commission - Department of Securities
Effective Monday, July 27, 2015, our new physical location and mailing address will be:. 204 North Robinson Ave., Suite 400,. Oklahoma City, OK 73102-7001. Google powered site search:. Person or Entity Search:. IC Notice Permit Letters. Required Reg. Docs. Exam and Testing Info. In the News Archives. Page loaded as of 8/13/2015 4:13:26 PM. What is the Oklahoma Securities Commission? White, Tonya M. and Dunning, Kristin L. Order Setting Briefing and Hearing Schedule [CV-2015-86]. ACFE Senior Fraud Present...
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SCAC | Securities Class Action Clearinghouse | Home
Register here to receive weekly email notices about recently-filed securities class action complaints and news in the area of securities class action litigation. PetroChina Co. Ltd. PetroChina Wins Dismissal Of US Lawsuit Over Alleged Bribery. Middot; Court Document PDF. Residential Accredit Loans, lnc. : RALl Mortgage Asset-Backed Pass-Through Certificates. 235M Citi, Goldman, UBS Settlement Approved In MBS Case. Middot; Settlement PDF. Middot; News Excerpt. Sarah N. Lynch, Reuters, August 05, 2015.
Oklahoma Securities Commission - Main Page
Google powered site search:. Person or Entity Search:. IC Notice Permit Letters. Required Reg. Docs. Exam and Testing Info. In the News Archives. 204 North Robinson Avenue, Suite 400, Oklahoma City, Oklahoma 73102-7001 (405) 280-7700 Fax: (405) 280-7742. Page loaded as of 1/12/2017 10:16:59 AM. What is the Oklahoma Securities Commission? R and J Financial, Inc. and Arledge, John Michael Jr. Petition for Permanent Injunction and Other Equitable Relief. McDaniel, Larry R. Reed, Kevin Mark. McDaniel, Larry R.
