A Consent Order entered against an issuer of securities exempt pursuant to Ark Code Ann. Section 23-42-504(a)(13) and Rule 504.01(a)(13)(N) for a late filing with the Department.
The Cristal Resort HSV, LLC
10/11/2022
A Consent Order entered against an issuer of securities exempt pursuant to Ark Code Ann. Section 23-42-504(a)(13) and Rule 504.01(a)(13)(N) for a late filing with the Department.
PrimePay, LLC
10/11/2022
Consent order entered in connection with unlicensed
money transmission activity in violation of the Arkansas
Money Services Act.
NuFund 22, LLC
10/10/2022
A Consent Order entered against an issuer of securities exempt pursuant to Ark Code Ann. Section 23-42-504(a)(13) and Rule 504.01(a)(13)(N) for a late filing with the Department.
Sentinel Advisors, LLC and Adam C. Smith
09/09/2022
A Consent Order revoking the investment adviser registration of Sentinel Advisors, LLC (CRD No. 291606), and investment adviser representative registration of Adam C. Smith (CRD No. 4542903), for violations of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner for failures to disclose felony arrests and a resultant plea agreement in public disclosure documents filed with the Department.
Daniel J. Lauletta
09/01/2022
A Consent order revoking the broker-dealer agent registration of Daniel J. Lauletta, CRD No. 2659123, for violations of the Arkansas Securities Act and the Rules of the Arkansas Securities Commissioner related to unsuitable investment advice and violation of fiduciary duty.
Scott D. Achterling
06/20/2022
Order entered by the Arkansas Securities Commissioner granting a limited agent registration.
Church Extension Loan Fund, Inc.
03/29/2022
A Consent Order entered concerning the failure to file a proof of exemption pursuant to Ark. Code Ann. Section 23-42-503(a)(7).
BlockFi Lending LLC
03/29/2022
A Consent Order regarding the sale of unregistered securities and an untrue statement of material fact made in connection with the sale of securities in Arkansas. BlockFi Lending LLC agreed to pay an administrative fine of $943,396.22 and perform certain undertakings under the Consent Order.