All Orders

An Order entered by the Arkansas Securities Commissioner granting a limited agent registration.

A Consent Order entered in connection with LPL Financial LLC’s failure to establish and maintain a system to reasonably supervise its agents.

A Consent Order entered in connection with Edward D Jones & Co., L.P.’s failure to establish and maintain a system to reasonably supervise its agents.

A Cease and Desist Order directing Brandon Stowe and Home Matrix SaaS to immediately cease and desist from the fraudulent offer and sale of unregistered securities in the form of investment contracts and stocks to investors.

A Consent Order entered in connection with TD Ameritrade, Inc.’s failure to establish and maintain a system to reasonably supervise its agents.

A Consent Order entered against an issuer of securities exempt pursuant to Ark. Code. Ann. section 23-42-504(a)(13) and Rule 23 CAR § 300-504(b)(1)(M)(ii)(n) for a late filing with the Department.

A Consent Order entered in connection with Stifel, Nicolaus & Company, Inc.’s failure to establish and maintain a system to reasonably supervise its agents.

A Consent Order entered against an issuer of securities exempt pursuant to Ark. Code Ann. section 23-42-509(e) and 23 CAR section 300-509(a)(3) for failing to renew its exemption with the Department.

A Cease and Desist Order directing Ourbit Holdings, LTD to immediately cease and desist from all money transmitter activity in Arkansas until properly licensed.