Consent order entered against an issuer of covered securities for a late notice filing with the Department.
Mark Steven Rogers
02/15/2019
Consent order entered in connection with violations of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner concerning unsuitable recommendations to clients and unreasonable advisory fees.
Licensure of Katelyn Ball with State Farm Bank, F.S.B.
02/14/2019
Order approving licensure of Katelyn Ball with State Farm Bank, F.S.B.
David Butler
02/14/2019
Order granting David Butler conditional registration as an investment adviser representative with EGP Wealth Management, LLC.
Revive Solutions, Inc.
02/05/2019
Consent order entered against an issuer of covered securities for a late notice filing with the Department.
LPL Financial, LLC
01/22/2019
Consent order entered in connection with violations of the Arkansas Securities Commissioner concerning LPL inconsistently classifying securities on client account statements.
Hightimes Holdings Corp.
01/14/2019
Consent order entered against an issuer of covered securities for a late notice filing with the Department.
Licensure Of Juan Francisco Barcenas with State Farm Bank, F.S.B.
01/02/2019
Order approving licensure of Juan Francisco Barcenas with State Farm Bank, F.S.B.
7-Hybrid Cultivation LLC
11/06/2018
Consent order entered concerning employing unregistered agents of the issuer in violation of the Arkansas Securities Act.