Order approving licensure of Joey Brandon Ryburn with State Farm Bank, F.S.B.
LICENSURE OF DUANE ALLEN DAVIS, JR., WITH STATE FARM BANK, F.S.B.
04/29/2013
Order approving the licensure of Duane Allen Davis, Jr., with State Farm Bank, F.S.B.
LICENSURE OF JAY PAUL BERNARD, WITH STATE FARM BANK, F.S.B.
04/23/2013
Order approving the licensure of Jay Paul Bernard, with State Farm Bank, F.S.B.
VFG, LLC f/k/a VOYAGER FINANCIAL GROUP, LLC, ANDREW GAMBER, KEVIN MCNAY, ROBERT HENRY, and JONATHAN SHEETS
04/22/2013
Cease and desist order directing the parties to stop the offer and sale of securities in Arkansas and to refrain from further activity in violation of the Arkansas Securities Act.
NEWBRIDGE SECURITIES CORPORATION CRD NO. 104065
04/05/2013
Consent order entered into for violations of the Arkansas Securities Act concerning the failure to properly disclose handling fees.
LICENSURE OF LAUREN DOUCET, WITH STATE FARM BANK, F.S.B.
04/02/2013
Order approving licensure of Lauren Doucet with State Farm Bank, F.S.B.
LICENSURE OF SERENA SMITH, WITH STATE FARM BANK, F.S.B.
03/26/2013
Order approving licensure of Serena Smith with State Farm Bank, F.S.B.
LICENSURE OF ALEX BALDWIN, WITH STATE FARM BANK, F.S.B.
03/12/2013
Order approving licensure of Alex Baldwin with State Farm Bank, F.S.B.
J.D. NICHOLAS & ASSOCIATES, INC. f/k/a A&F FINANCIAL SECURITIES, INC. and GREGORY THOMAS DEAN
02/27/2013
A consent order entered for failing to comply with federal telemarketing and National Do Not Call Registry restrictions, failing to enforce a system to supervise the activities of broker-dealer agents, and charging customers undisclosed fees, in violation of the Arkansas Securities Act and the Rules of the Arkansas Securities Commissioner.