States sanction mortgage loan officer for violation of SAFE Act education requirements
Little Rock, AR. (December 22, 2025) – A mortgage loan officer has received serious sanctions and...
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Arkansas Securities Department joins $106 million multi-state settlement with Vanguard over big tax bills, remediation to investors
LITTLE ROCK, Arkansas – (January 17, 2025) — The Arkansas Securities Department joined a taskforce of...
Arkansas Securities Department joins $80 million enforcement action against Block, Inc., Cash App for BSA/AML violations
LITTLE ROCK, Arkansas (January 15, 2025) – Arkansas and 47 state financial regulatory agencies have taken...
Arkansas Securities Department joins $17 million multi-state enforcement settlement with Edward Jones
Multi-state working group finds supervisory failures with respect to Class A mutual fund shares LITTLE ROCK,...
Arkansas Securities Department joins $20 million multistate data breach settlement with nation’s largest nonbank servicing company
LITTLE ROCK, Ark. (January 8, 2025) – The Arkansas Securities Department and 52 state financial regulatory...
Arkansas Securities Department enters consent order with Abra over cryptocurrency violations
LITTLE ROCK, Ark. (June 13, 2024)— The Arkansas Securities Department (“Department”), as part of a working...
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...
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...