Administrative Orders

Year 2019


S-19-0028-19-OR01
3/20/2019

Moonlighting, LLC

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

S-19-0018-19-OR01 and S-19-0019-OR01
3/18/2019

Eagle Pioneer Fund LLC and

Eagle Alcyone Fund II, LLC

Consent order entered against two issuers of covered securities for late notice filings with the Department.

S-19-0013-19-OR01
3/13/2019

Metis Equity Trust - Metis International Micro Cap Portfolio

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

S-19-0026-19-OR01
3/8/2019

LumoXchange, LLC

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

S-19-0008-19-OR01
2/22/2019

Bottoms Up Real Estate Investments, LLC

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

S-18-0110-19-OR01
2/15/2019

Mark Steven Rogers

Consent order entered in connection with violations of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner concerning unsuitable recommendations to clients and unreasonable advisory fees.

C-19-0015-19-OR01
2/14/2019

Licensure  of Katelyn Ball

with State Farm Bank, F.S.B.

Order approving licensure of Katelyn Ball with State Farm Bank, F.S.B.

S-19-0014-19-OR01
2/14/2019

David Butler

Order granting David Butler conditional registration as an investment adviser representative with EGP Wealth Management, LLC.

S-19-0003-19-OR01
2/5/2019

Revive Solutions, Inc.

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

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.


< back to year select
 

contact us

Telephone: (501) 324-9260
Facsimile: (501) 324-9268
Hotline: (800) 981-4429
info@securities.arkansas.gov
Browse the ASD Contact Directory
search license database