A Consent Agreement and Order suspending the license of West Realm Shires Services, Inc. d/b/a FTX US.
Irenic Adelaide SPV LP, Series 2
12/07/2022
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.
Expert-Trading FX
12/07/2022
A Cease and Desist Order directing Expert-Trading and its agents to immediately cease and desist from the fraudulent and unregistered offer and sale of securities in Arkansas and acting as an unregistered issuer and employing unregistered agents.
Element Analytics, Inc. – Series C
10/27/2022
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.
Gaingels Booster Fuels I, a Series of Republic Deal Room Master Fund, LP
10/14/2022
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.
Gaingels Remote I, a Series of Republic Deal Room Master Fund, LP
10/14/2022
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.
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.
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.