A Cease and Desist Order directing GS Partners Global, Swiss Valorem Bank and Josip Heit to immediately cease and desist from the fraudulent and misleading offer and sale of unregistered securities in the form of MetaCertificates to Arkansas investors.
GS Partners Global, Swiss Valorem Bank, and Josip Heit
Blue Owl Technology Income Corp.
A Consent Order entered against an issuer of securities exempt pursuant to Ark. Code Ann. Section 23-42-402 for a late filing with the Department.
Stephen L. Shields, Applicant
An order granting Stephen L. Shields conditional registration as a broker-dealer agent with Carty and Company, Inc.
Raymond James & Associates, Inc., and Raymond James Financial Services, Inc.
A consent order entered in connection with failing to establish and maintain a supervisory system that is reasonably designed to achieve compliance with securities laws and regulations pursuant to Ark. Code Ann. §§ 23-42-301(f) and 23-42-308(a)(2)(J), and Rule 301.01(c).
True Bullion, LLC d/b/a Gold Silver International Exchange, d/b/a GSI Exchange, and Anthony Allen Anderson
A Consent Order regarding unregistered investment adviser activity and untrue statements of material fact made in connection with the sale of precious metals in Arkansas by True Bullion, LLC d/b/a GSI Exchange (“True Bullion”). The Consent Order finds that True Bullion will offer a refund to those investors who purchased precious metals prior to July 22, 2021. This order settles the Cease and Desist Order No. S-21-0009-22-OR02 entered against True Bullion on February 9, 2022.
ArkBit Capital LLC, BeefyBit Capital LLC, and NanoX Invest LLC
A Cease and Desist Order directing ArkBit Capital LLC, BeefyBit Capital LLC, NanoX Invest LLC, and related persons or entities, to immediately cease and desist from the fraudulent and unregistered offer and sale of securities in Arkansas and from acting as an unregistered issuer.
Stonehenge Technology Labs, Inc.
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.
Nexo Capital Inc.
A Consent Order entered in connection with unregistered offers and sales of digital asset investments in violation of the Arkansas Securities Act.
Acropolis Partners, LLC
A Consent Order entered in connection with violations of the Arkansas Securities Act for unregistered investment adviser activity.