Consent order entered against an issuer of covered securities for failing to notice file its SEC Form D with the Department.
LPL FINANCIAL LLC
04/26/2016
Consent order entered in connection with violations of the Arkansas Securities Act and the Rules of the Arkansas Securities Commissioner.
SAGITTARII FUND, LLC
04/18/2016
Consent order concerning the sale of securities through the omission of material information in violation of the Arkansas Securities Act.
LICENSURE OF AMANDA RUTH FRIEDMAN WITH STATE FARM BANK, F.S.B.
04/08/2016
Order approving licensure of Amanda Ruth Friedman with State Farm Bank, F.S.B.
JUSTIN MARSHALL CONWAY
03/30/2016
Order entered approving a limited agent registration for Justin Marshall Conway.
BLUE MOUNTAIN CASIS CA L.P. and BLUE MOUNTAIN CREDIT ALTERNATIVES FUND L.P.
03/25/2016
Consent order entered in connection with a filing violation of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner as a notice filer for covered securities failed to file its Form D with the Department within the required time frame after the first sale in Arkansas.
CHASTAIN FINANCIAL, LLC AND CARLA L. CHASTAIN
03/16/2016
A cease and desist order directing the Respondents to refrain from engaging in investment adviser or broker-dealer related activity and, to immediately cease and desist from committing fraud or deceit in connection with the offer or sale of any securities in Arkansas.
JONATHAN EDWARD RAGO
03/16/2016
Summary order suspending registration entered in connection with violations of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner.
LICENSURE OF JORDAN KEITH SMITHSON WITH STATE FARM BANK, F.S.B.
03/04/2016
Order approving licensure of Jordan Keith Smithson with State Farm Bank, F.S.B.