A Consent Order entered in connection with TD Ameritrade, Inc.’s failure to establish and maintain a system to reasonably supervise its agents.
Ledgebrook, Inc.
09/19/2025
A Consent Order entered against an issuer of securities exempt pursuant to Ark. Code. Ann. section 23-42-504(a)(13) and Rule 23 CAR § 300-504(b)(1)(M)(ii)(n) for a late filing with the Department.
Stifel, Nicolaus & Company, Inc.
09/02/2025
A Consent Order entered in connection with Stifel, Nicolaus & Company, Inc.’s failure to establish and maintain a system to reasonably supervise its agents.
Rockstar Capital Group, LLC
07/23/2025
A Consent Order entered against an issuer of securities exempt pursuant to Ark. Code Ann. section 23-42-509(e) and 23 CAR section 300-509(a)(3) for failing to renew its exemption with the Department.
Ourbit Holdings, LTD
07/01/2025
A Cease and Desist Order directing Ourbit Holdings, LTD to immediately cease and desist from all money transmitter activity in Arkansas until properly licensed.
Alan K. Stein
06/27/2025
An order entered by the Arkansas Securities Commissioner granting a limited agent registration.
Christopher W. Thompson Jr.
06/27/2025
An order entered by the Arkansas Securities Commissioner granting a limited agent registration.
Steven Scott Jones
06/27/2025
An order entered by the Arkansas Securities Commissioner granting a limited agent registration.
Vanguard Marketing Corporation and The Vanguard Group, Inc.
06/12/2025
A Consent Order in connection with a failure to supervise certain registered persons and for failing to disclose potential tax consequences to investors following a change in investment minimums for certain target date retirement funds.