Administrative Orders

Year 2019


S-16-0069-19-OR02
1/22/2019

LPL FINANCIAL, LLC

Consent order entered in connection with violations of the Arkansas Securities Commissioner concerning LPL inconsistently classifying securities on client account statements.

 

 

S-19-0001-19-OR01
1/14/2019

HIGHTIMES HOLDINGS CORP.

Consent order entered against an issuer of covered securities for a late notice filing with the Department.

C-19-0000-19-OR01
1/2/2019

LICENSURE OF JUAN FRANCISCO BARCENAS

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Juan Francisco Barcenas with State Farm Bank, F.S.B.


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