An order granting Robert B. Roach, III conditional registration as a broker-dealer with R.M. Duncan Securities, Inc.
Mackrow Asset Management Group and John M. Cucinella
08/16/2018
A cease and desist order concerning unregistered broker-dealer and agent activity, as well as the sale of unregistered securities.
Burleson Townhome Partners, LLC
07/26/2018
Consent order entered against an issuer of covered securities for a late notice filing with the Department.
Licensure of Heather Nicole Green with State Farm Bank, F. S. B.
07/18/2018
Order approving licensure of Heather Nicole Green with State Farm Bank, F.S.B.
Windsor Street Capital, LP
07/06/2018
Summary order canceling registration entered by the Arkansas Securities Commissioner canceling the broker-dealer registration of Windsor Street Capital, LP in the state of Arkansas.
Order Delegating Commissioner Duties
06/21/2018
Order Delegating Duties of the Commissioner temporarily to Deputy Commissioner.
Licensure of Garrett Steven Youngblood with State Farm Bank, F.S.B.
06/19/2018
Order approving licensure of Garrett Steven Youngblood with State Farm Bank, F.S.B.
RealtyShares 364, LLC
06/18/2018
Consent order entered against an issuer of covered securities for a late notice filing with the Department.
Ballcorps, LLC
05/30/2018
Consent order entered against an issuer of covered securities for a late notice filing with the Department.