Consent order entered into with Andrew Hardie in connection with his unsuitable recommendations while acting as an investment adviser representative and broker-dealer agent that clients purchase and hold for extended periods of time certain Non-traditional exchange traded fund (Non-Traditional EFTs). It was also found that the client accounts had excessive concentration levels of these products.
Amie Elizabeth Fielder
10/05/2017
A consent order entered in connection with violations of the Arkansas Securities Act.
Licensure of Michael Robert Spain with State Farm Bank, F.S.B.
10/03/2017
Order approving licensure of Michael Robert Spain, with State Farm Bank, F.S.B.
Integrated Healing Technologies, LLC
10/03/2017
Consent order entered against an issuer of covered securities for a late notice filing with the Department.
Regal Securities, Inc.
09/21/2017
A consent order in connection with violations of the Arkansas Securities Act.
David William Dalton
09/21/2017
A consent order entered in connection with violations of the Arkansas Securities Act.
Arkansas Provider Coalition, LLC
09/14/2017
Order entered granting a transactional exemption pursuant to Ark. Code Ann. §§ 23-42-504(a)(9) and 23-42-504(a)(9)(B).
Menguin, Inc.
09/12/2017
Consent order entered against an issuer of covered securities for a late notice filing with the Department.
Licensure of Zachary Taylor Johnson with State Farm Bank, F.S.B.
09/07/2017
Order approving licensure of Zachrey Taylor Johnson with State Farm Bank, F.S.B.