A cease and desist order directing the respondent to stop committing securities fraud in connection with unregistered investment adviser activity and the offer or sale of securities in Arkansas.
Kuettel Capital, LLC
06/23/2020
An order summarily suspending the registration of Kuettel Capital, LLC as an investment adviser and the registration of Adam J. Kuettel as an investment adviser representative of Kuettel Capital, LLC.
Mark Baxter a/k/a Mark Morrow
06/17/2020
A cease and desist order directing the respondent to stop committing securities fraud in connection with unregistered investment adviser activity and the offer or sale of securities in Arkansas.
Fitbod-2, A Series of Jason’s Syndicate, LLC
06/16/2020
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.
Andrew S. Lee
06/04/2020
Cease and desist order concerning acting as an unregistered investment adviser and securities fraud.
Licensure of Quicken Loans, Inc., Branch 1069 Maxwell Street, Siloam Springs, AR
04/27/2020
Order approving the licensure of Quicken Loans, Inc., Branch 1069 South Maxwell Street, Siloam Springs, AR.
Pro Options Elite and Charles Louis Bittman
04/14/2020
Cease and desist order concerning fraudulent and unregistered investment adviser activity and fraud in the offer or sale of securities by one unregistered to offer or sell securities.
Licensure of Quicken Loans, Inc. Branch 1723 North University Avenue Little Rock, AR
04/02/2020
Order approving Quicken Loans, Inc., Branch 1723 North University Avenue Little Rock, AR.
Bagby Financial Services, Inc.
03/27/2020
Consent order entered with the Respondent to resolve issues with an unregistered branch location in Arkansas.