A Consent Order in connection with a failure to supervise certain registered persons and for failing to disclose potential tax consequences to investors following a change in investment minimums for certain target date retirement funds.
Naresh Patel
05/27/2025
A Consent Order entered against Naresh Patel for acting as an unregistered broker dealer in Arkansas.
Brock H. McCracken
05/22/2025
An order entered by the Arkansas Securities Commissioner granting a limited agent registration.
Clayton A. Thomas
05/22/2025
An order entered by the Arkansas Securities Commissioner granting a limited agent registration.
Scott R. Westphal
05/22/2025
An order entered by the Arkansas Securities Commissioner granting a limited agent registration.
Gerald H. Johnson
05/20/2025
An order entered by the Arkansas Securities Commissioner granting a limited agent registration.
Impact Management Group, Inc.
04/18/2025
An Order waiving certain conditions under Ark. Code Ann.§ 23-42-504(A)(9).
Plutus Financial Holdings Inc., Abra Trading, LLC, Plutus Financial Inc., Plutus Lending LLC, and William John Barhydt
04/02/2025
A Consent Order entered in connection with unlicensed money transmission activity in Arkansas.
Cirkor Inc.
04/01/2025
A Cease and Desist Order directing Cirkor Inc. to immediately cease and desist from all money transmitter activity in Arkansas until properly licensed.