Consent order entered against an issuer of covered securities for a late notice filing with the Department.
LPL Financial LLC
10/24/2018
Consent order entered in connection with violations of the Arkansas Securities Act and the Rules of the Arkansas Securities Commissioner.
Marble Ridge LP
10/24/2018
Consent order entered against an issuer of covered securities for a late notice filing with the Department.
Matthew Leon White
10/17/2018
A consent order entered in connection with violations of the Rules of the Arkansas Securities Commissioner and also approving the investment adviser registration application of Meraki, LLC d/b/a White McGowen.
Gerald Donner, Jr. and Auxarc Asset Management Company
10/10/2018
A consent order entered in connection with violations of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner concerning the unsuitable recommendation to clients to purchase and hold Non-Traditional ETFs for extended periods of time.
Edward D. Jones & Co., L.P.
09/13/2018
Consent order entered in connection with violations of the Arkansas Securities Act.
Clinton Synergie Focused Levered Fund, L.P.
08/29/2018
Consent order entered against an issuer of covered securities for a late notice filing with the Department.
Robert B. Roach, III
08/22/2018
An order granting Robert B. Roach, III conditional registration as a broker-dealer with R.M. Duncan Securities, Inc.
Mackrow Asset Management Group and John M. Cucinella
08/16/2018
A cease and desist order concerning unregistered broker-dealer and agent activity, as well as the sale of unregistered securities.