A Cease and Desist Order directing Etorort.com to immediately cease and desist from all money transmitter activity in Arkansas until properly licensed.
RBC Capital Markets, LLC
02/05/2026
A Consent Order entered in connection with RBC Capital Market LLC’s failure to establish and maintain a system to reasonably supervise its agents.
Patrick Terrance Donlon
12/22/2025
A Settlement Agreement and Consent Order entered to permanently bar the licensure of Patrick Terrance Donlon in connection with violations of the Fair Mortgage Lending Act and the Rules of the Fair Mortgage Lending Act.
Clyde N. Davis, III
10/29/2025
An Order entered by the Arkansas Securities Commissioner granting a limited agent registration.
LPL Financial LLC
10/13/2025
A Consent Order entered in connection with LPL Financial LLC’s failure to establish and maintain a system to reasonably supervise its agents.
Edward D. Jones & Co., L.P.
10/13/2025
A Consent Order entered in connection with Edward D Jones & Co., L.P.’s failure to establish and maintain a system to reasonably supervise its agents.
Brandon Stowe and Home Matrix SaaS
10/09/2025
A Cease and Desist Order directing Brandon Stowe and Home Matrix SaaS to immediately cease and desist from the fraudulent offer and sale of unregistered securities in the form of investment contracts and stocks to investors.
TD Ameritrade, Inc.
10/02/2025
A Consent Order entered in connection with TD Ameritrade, Inc.’s failure to establish and maintain a system to reasonably supervise its agents.
Ledgebrook, Inc.
09/19/2025
A Consent Order entered against an issuer of securities exempt pursuant to Ark. Code. Ann. section 23-42-504(a)(13) and Rule 23 CAR § 300-504(b)(1)(M)(ii)(n) for a late filing with the Department.