Administrative Pleadings

Year 2021


S-18-0059
3/8/2021

Security Asset Management/William Barnett

A complaint filed by the Staff of the Arkansas Securities Department against an investment adviser and an investment adviser representative for violations of the Arkansas Securities Act and the Rules of the Arkansas Securities Commissioner. 

S-18-0059
3/8/2021

Security Asset Management/William Barnett

Request for an order summarily and immediately suspending the registration of Security Asset Management, LLC as an investment adviser and the registration of William Barnett as an investment adviser representative of Security Asset Management, LLC pending the resolution of a complaint filed against both by the Staff of the Arkansas Securities Department.

S-21-0001
1/12/2021

Arbirate, LLC

A request for a cease and desist order concerning the fraudulent and unregistered broker-dealer activity in the offer and sale of unregistered securities in Arkansas. 


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