Order entered by the Arkansas Securities Commissioner approving a limited agent registration.
Katie White
09/17/2021
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.