Order approving licensure of Catherine Jennings Dillon with State Farm Bank, F.S.B.
Ronald Patrick Cameron
05/06/2019
A consent order entered in connection with violations of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner and also approving the dual registration of Ronald P. Cameron as a broker-dealer agent with International Asset Advisory, LLC and as an investment adviser representative with International Assets Investment Management, LLC.
Crews and Associates, Inc.
04/12/2019
Consent order entered against broker-dealer for failure to comply with books and records requirements.
David Butler
04/10/2019
Order amending the heightened supervision plan of David Butler.
Hot Coe Coe LLC a/k/a Diclops.com
03/26/2019
Cease and desist order concerning the offer for sale of unregistered, non-exempt securities through the use of omissions and misstatements of material facts.
Moonlighting, LLC
03/20/2019
Consent order entered against an issuer of covered securities for a late filing with the Department.
Eagle Pioneer Fund LLC and Eagle Alcyone Fund II, LLC
03/18/2019
Consent order entered against two issuers of covered securities for late notice filings with the Department.
Metis Equity Trust – Metis International Micro Cap Portfolio
03/13/2019
Consent order entered against an issuer of covered securities for a late notice filing with the Department.
LumoXchange, LLC
03/08/2019
Consent order entered against an issuer of covered securities for a late notice filing with the Department.