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.
REGISTRATION OF JOESPH BUMPERS AND GARY CHAMBERS WITH FIRST SECURITY FUND ADVISERS, INC.
08/03/2015
Order granting limited investment adviser representative registrations.
RESTORATION ROBOTICS, INC.
08/03/2015
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.
LICENSURE OF LARRY REID ROBERTSON WITH STATE FARM BANK, F.S.B.
07/30/2015
Order approving licensure of Larry Reid Robertson with State Farm Bank, F.S.B.
JOHN LATHERN HILL
07/23/2015
A consent order entered in connection with violations of the Arkansas Securities Act.
CITIGROUP GLOBAL MARKETS, INC.
07/10/2015
Administrative consent order entered in connection with violations of the Arkansas Securities Act and the Rules of the Arkansas Securities Commissioner.
THE BULLION GROUP, INC.; and LUIS MANUEL PINEDA
06/09/2015
A cease and desist order directing the respondents to stop offering and selling securities to Arkansas residents until the securities in question and the entities and persons offering and selling the securities are all properly registered or exempt under the Arkansas Securities Act.
INTERACTIVE DIGITAL SYSTEMS, LLC; AD-MAR, LLC; DENNIS F. ROBINSON and JAN RICHEY ROBINSON
05/29/2015
A cease and desist order directing the respondents to stop the offer or sale of unregistered securities in Arkansas and to refrain from committing fraud or deceit in connection with the offer or sale of any security in Arkansas.
JONATHAN EDWARD RAGO
05/22/2015
A consent order entered in connection with violations of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner.