An Order entered by the Arkansas Securities Commissioner granting a limited agent registration.
Larry Joe Rucker, Seatbeltguard, Inc., Guard4Life, and BMS, Inc. d/b/a Brady Mountain Storage
02/10/2025
A Cease and Desist Order directing Larry Joe Rucker, Seatbeltguard Inc., Guard4Life, and BMS INC. d/b/a Brady Mountain Storage to immediately cease and desist from the fraudulent and misleading offer and sale of unregistered securities in the form of investment contracts to Arkansas Investors.
Block, Inc.
01/17/2025
Settlement Agreement and Consent Order for violations of the Arkansas Money Services Act related to AML/BSA activity.
Lakeview Loan Servicing, LLC, Pingora Loan Servicing, LLC, Community Loan Servicing, LLC, Bayview Asset Management, LLC
01/08/2025
Settlement Agreement and Consent Order entered in connection with deficient cybersecurity practices in violation of the Fair Mortgage Lending Act.
Alton B. Raney II
12/30/2024
A Consent Order entered against a broker-dealer agent and investment adviser representative for violation of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner related to unsuitable recommendations and unethical activity.
Edward D. Jones & Co., L.P.
12/23/2024
A Consent Order entered against Edward Jones (CRD# 250) in connection with failing to establish and maintain a system to supervise the activities of its broker-dealer agents that is reasonably designed to achieve compliance with securities laws and regulations, including the establishment and maintenance of written procedures, pursuant to the Arkansas Securities Act, Ark. Code Ann. §§ 23-42-301(f), and Rule 301.01(c)(2) of the Rules of the Arkansas Securities Commissioner.
WEEX International Exchange LTD
12/11/2024
A Cease and Desist Order directing WEEX International Exchange LTD to immediately cease and desist all money transmitter activity in Arkansas until properly licensed.
Golden Mine
12/02/2024
A Cease and Desist Order directing GoldenMineCrypto.com, an unregistered issuer of securities, to immediately cease and desist from the fraudulent and unregistered offer and sale of securities.
Jennifer Whitehead
11/25/2024
An Order entered by the Arkansas Securities Commissioner granting a limited agent registration.