Order entered by the Arkansas Securities Commissioner granting limited agent registration.
Henry Cooper and Network Trade, LLC
01/09/2020
A cease and desist order concerning the sale of fraudulent, unregistered securities.
Nedra Jean Macshane
01/09/2020
Order entered by the Arkansas Securities Commissioner granting limited agent registration.
QVG, LLC
12/19/2019
Consent order entered in connection with violations of the Arkansas Securities Act for unregistered investment adviser activity
Solium Financial Services, LLC
12/03/2019
Consent order entered in connection with violations of the Arkansas Securities Act regarding unregistered activity.
Christopher Schoefield Carlin and Alexander Capital, L.P.
11/20/2019
Consent order entered in connection with violations of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner regarding unregistered activity
Licensure of Seth Tedder Holifield with State Farm Bank, F.S.B.
11/08/2019
Order approving licensure of Seth Tedder Holifield with State Farm Bank, F.S.B.
Hannover House, Inc.; D. Frederick Shefte; and Eric F. Parkinson
10/08/2019
A cease and desist order directing Hannover House, Inc. to stop the sale of unregistered securities and ordering the Respondents to refrain from committing securities fraud in connection with the offer or sale of any security in Arkansas.
David Bertram Parker
10/04/2019
Order entered by the Arkansas Securities Commissioner granting limited agent registration.