Consent order entered against an issuer of covered securities for a late notice filing with the Department.
PE Premier Carlyle Distressed Opportunities IV Onshore Feeder L.P.
05/23/2017
Consent order entered against an issuer of covered securities for a late notice filing with the Department.
Align Debt Fund V, LP
05/16/2017
Consent order entered against an issuer of covered securities for a late notice filing with the Department.
Licensure of Keith Douglas Brooks, with State Farm Bank, F.S.B.
05/15/2017
Order approving licensure of Keith Douglas Brooks with State Farm Bank, F.S.B.
Rory Trent Vircks
05/03/2017
Order entered approving a limited agent registration.
Acadian Wealth Management, LLC and Gerald Joseph Crochet
05/02/2017
A Consent Order entered in connection with violations of the Arkansas Securities Act.
Licensure of Brianne Renee Rohrig with State Farm Bank, F.S.B.
05/01/2017
Order approving licensure of Brianne Renee Rohrig with State Farm Bank, F.S.B.
Licensure of Lonnie Warren Dexter Grantham, with State Farm Bank, F.S.B.
04/27/2017
Order approving licensure of Lonnie Warren Dexter Grantham with State Farm Bank, F.S.B.
Licensure of Kristin Nicole Taylor with State Farm Bank, F.S.B.
04/24/2017
Order approving licensure of Kristin Nicole Taylor with State Farm Bank, F.S.B.