Order delegating duties of the Commissioner temporarily to Deputy Commissioner.
Licensure of Philip A. Sugg with State Farm Bank, F.S.B.
09/03/2019
Order approving licensure of Philip A Sugg with State Farm Bank, F.S.B.
Social Automotive Management Services, LLC; Social, Inc.; and Adam B. Sharp
08/29/2019
A cease and desist order directing the Respondents to stop engaging in unregistered securities activity and to refrain from committing securities fraud in connection with the offer or sale of any security in Arkansas.
Edison Nation, Inc. f/k/a Xspand Products Lab, Inc.
08/15/2019
Consent order entered against an issuer of securities covered by Regulation A, Tier 2 for a late notice filing with the Department.
Wilshire-Pennington Group, Inc. Benjamin Daniel Kennedy III, and Benjamin Daniel Kennedy IV
08/06/2019
Consent order entered for multiple violations of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner concerning unsuitable securities recommendations, omissions of material information and supervision.
Chastain Financial, LLC, Carla Chastain, and Stephen B. Chastain
08/05/2019
A cease and desist order ordering Chastain Financial, LLC, Carla Chastain and Stephen B. Chastain to cease and desist all activities acting as an unregistered investment adviser, acting as an unregistered investment adviser representative and committing securities fraud
Joshua Matthew Brock
07/10/2019
Order entered by the Arkansas Securities Commissioner granting limited agent registration.
Licensure of Keith Douglas Brooks with State Farm Bank, F.S.B.
06/14/2019
Order approving licensure of Douglas Brooks with State Farm Bank, F.S.B.
Licensure of Melvin K. Padgett with State Farm Bank, F.S.B.
05/22/2019
Order approving licensure of Melvin K. Padgett with State Farm Bank, F.S.B.