Administrative Orders
Year 2022
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S-22-0018-22-OR01 6/20/2022 |
Order entered by the Arkansas Securities Commissioner granting a limited agent registration. |
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S-20-0050-21-OR01 3/29/2022 |
A Consent Order entered concerning the failure to file a proof of exemption pursuant to Ark. Code Ann. Section 23-42-503(a)(7). |
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S-22-0012-22-OR01 3/29/2022 |
A Consent Order regarding the sale of unregistered securities and an untrue statement of material fact made in connection with the sale of securities in Arkansas. BlockFi Lending LLC agreed to pay an administrative fine of $943,396.22 and perform certain undertakings under the Consent Order. |
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C-21-0030-22-OR06 3/18/2022 |
Danny Yen d/b/a Real Estate Educational Services, Wendy Yen, and Dat Yen a/k/a Pat Yen A Consent Order entered against a mortgage education provider in connection with a coordinated mortgage loan office fraud scheme. |
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S-22-0007-22-OR01 3/9/2022 |
A Consent Order entered against an issuer of securities exempt pursuant to Ark Code Ann. Section 23-42-504(a)(13) and Rule 504.01(a)(13)(N) for a late filing with the Department. |
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S-22-0003-22-OR01 3/9/2022 |
A Consent Order entered concerning the failure to timely file a proof of exemption pursuant to Ark. Code. Ann. Section 23-42-503(a)(7). |
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C-22-0006-22-OR01 3/3/2022 |
A Cease and Desist Order directing Facebook Pay (USA) Limited to immediately cesae and desist all money transmitter activity in Arkansas until properly licensed. |
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S-22-0009-22-OR01 3/3/2022 |
Order entered by the Arkansas Securities Commissioner granting a limited agent registration. |
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S-18-0093-22-OR01 2/17/2022 |
A Consent Order through which the Respondents agreed to withdraw their registrations in connection with violations of the Arkansas Securities Act related to unsuitable investment advice and violation of fiduciary duty. |
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S-21-0009-22-OR02 2/10/2022 |
A cease and desist order concerning unregistered, fraudulent investment adviser activity conducted in Arkansas. |
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S-18-0051-22-OR10 1/24/2022 |
An Amended Cease and Desist Order that amends S-18-0051-19-OR02 to remove Stephen B. Chastain as a Respondent. |
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S-18-0051-22-OR12 1/24/2022 |
An Order granting a conditional registration for Steve Chastain Wealth Management as an investment adviser. |
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S-18-0051-22-OR11 1/24/2022 |
A Consent Order through which Chastain Financial, LLC and Carla Chastain agree to withdraw a hearing request on a Cease and Desist Order and peform certain undertakings. |
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S-21-0007-22-OR02 1/18/2022 |
A Cease and Desist Order directing First Class Wealth Preservation, LLC and Joseph Valko to cease and desist from conducting unregistered, fraudulent investment adviser activity in Arkansas.. |
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S-21-0029-21-OR01 1/3/2022 |
Order entered by the Arkansas Securities Commissioner granting a limited agent registration. |
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