A Cease and Desist Order directing Ourbit Holdings, LTD to immediately cease and desist from all money transmitter activity in Arkansas until properly licensed.
Alan K. Stein
06/27/2025
An order entered by the Arkansas Securities Commissioner granting a limited agent registration.
Christopher W. Thompson Jr.
06/27/2025
An order entered by the Arkansas Securities Commissioner granting a limited agent registration.
Steven Scott Jones
06/27/2025
An order entered by the Arkansas Securities Commissioner granting a limited agent registration.
Vanguard Marketing Corporation and The Vanguard Group, Inc.
06/12/2025
A Consent Order in connection with a failure to supervise certain registered persons and for failing to disclose potential tax consequences to investors following a change in investment minimums for certain target date retirement funds.
Naresh Patel
05/27/2025
A Consent Order entered against Naresh Patel for acting as an unregistered broker dealer in Arkansas.
Brock H. McCracken
05/22/2025
An order entered by the Arkansas Securities Commissioner granting a limited agent registration.
Clayton A. Thomas
05/22/2025
An order entered by the Arkansas Securities Commissioner granting a limited agent registration.
Scott R. Westphal
05/22/2025
An order entered by the Arkansas Securities Commissioner granting a limited agent registration.