An Order entered by the Arkansas Securities Commissioner granting a limited agent registration.
Monument Traders Co. Pty. Ltd., Windsor Advisors Group LLC, and Lance Brokaw
03/16/2026
A Cease and Desist Order directing Respondents to immediately Cease and Desist from the fraudulent sale and use of proceeds of unregistered securities in the form of investment contracts to Arkansas investors.
New Horizon Asset Management, LLC and Chad R. Amerson
03/12/2026
A Consent Order entered in connection with violations of the Arkansas Securities Act.
EzyRemit Worldwide Inc.
03/06/2026
A Cease and Desist Order directing EzyRemit Worldwide Inc. to immediately cease and desist from all money transmitter activity in Arkansas until properly licensed.
NewEraEducation.com
03/05/2026
A Cease and Desist Order directing NewEraEducation.com Worldwide Inc. to immediately cease and desist from all money transmitter activity in Arkansas until properly licensed.
Etorort.com
02/11/2026
A Cease and Desist Order directing Etorort.com to immediately cease and desist from all money transmitter activity in Arkansas until properly licensed.
RBC Capital Markets, LLC
02/05/2026
A Consent Order entered in connection with RBC Capital Market LLC’s failure to establish and maintain a system to reasonably supervise its agents.
Clyde N. Davis, III
10/29/2025
An Order entered by the Arkansas Securities Commissioner granting a limited agent registration.
LPL Financial LLC
10/13/2025
A Consent Order entered in connection with LPL Financial LLC’s failure to establish and maintain a system to reasonably supervise its agents.