Order entered by the Arkansas Securities Commissioner approving a limited agent registration.
Ancora Funds – Ancora/Thelan Small-Mid Cap Fund
09/15/2021
A Consent Order entered against an issuer of covered securities for a late renewal notice filing.
CUNA Brokerage Services, Inc.
09/10/2021
A Consent Order issued in connection with the firm’s failure to supervise in violation of the Arkansas Securities Act.
Element Analytics, Inc.
08/10/2021
Consent order entered against an issuer of securities exempt pursuant to Ark. Code Ann. §23-42-504(a)(13) and Rule 504.01(a)(13)(N) for a late filing with the Department.
MyCapitalTradeFX
08/04/2021
A cease and desist order directing respondents to stop committing securities fraud in connection with unregistered broker-dealer and investment adviser activity and the offer and sale of securities in Arkansas.
Maria Elena Carbone Coyne
08/02/2021
Order entered by the Arkansas Securities Commissioner approving limited agent registration.
Cetera Investment Services, LLC
06/21/2021
A Consent Order issued in connection with the firm’s failure to supervise in violation of the Arkansas Securities Act.
David Butler
06/16/2021
Order granting David Butler conditional registration as a Broker Dealer Agent with Veritas Independent Partners, LLC.
John C. Hamilton
05/04/2021
A consent order concerning violations of the Arkansas Securities Act and the Rules of the Arkansas Securities Commissioner, including acting as an unregistered investment adviser, material misstatement of fact and making an unsuitable recommendation. This order resolves a complaint filed on May 29, 2020.