Arkansas Securities Department

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. 

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.

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.