Other People’s Money Investment Scams
Securities regulators have seen a rise in schemes where scammers target victims with the promise of...
Arkansas Securities Department joins $1.5 million multistate securities settlement against crypto platform, TradeStation
Little Rock, Ark. (February 7, 2024) – The Arkansas Securities Department (ASD) has joined a multistate...
Investor Alert: Artificial Intelligence (AI) and Investment Fraud
The Securities and Exchange Commission (SEC) Office of Investor Education and Advocacy, the North American Securities...
Arkansas Securities Department joins with other U.S., Canadian regulators to target global investment fraud scheme
Little Rock, Ark. (Dec. 19, 2023) – On Nov. 22, 2023, Arkansas Securities Commissioner Susannah T....
Arkansas and 43 state regulators settle with ACI Payments Inc. for unauthorized transactions from Mr. Cooper customer accounts
State regulators and state attorneys general levy combined fines of $20 million for data misuse impacting...
Arkansas and 43 state regulators settle with ACI Payments Inc. for unauthorized transactions from Mr. Cooper customer accounts
State regulators and state attorneys general levy combined fines of $20 million for data misuse impacting...
Arkansas Securities Department joins $13 million multi-state settlement with Raymond James
Little Rock, Ark. (October 9, 2023) – The Arkansas Securities Department (ASD) has joined a $13 million...
Immediate steps for firms to take regarding TD Ameritrade transition to Charles Schwab & Co., Inc.
Little Rock, AR – September 5, 2023 – The Arkansas Securities Department (“Department”) is issuing this Adviser Alert...
Arkansas Securities Department announces refunds for clients of precious metals firm
LITTLE ROCK, Ark. (Aug. 31, 2023) — The Arkansas Securities Department (ASD), along with securities regulators...