Consent order entered against an issuer of covered securities for a late notice filing with Department.
MADISON FUND VI, LLC
11/07/2016
Consent order entered against an issuer of covered securities for a late notice filing with the Department.
GRIDCO, INC.
11/04/2016
Consent order entered against an issuer of covered securities for a late notice filing with the Department.
OTCQX and OTCQB
11/04/2016
Order entered by the Arkansas Securities Commissioner approving manual exemptions.
MCDONALD PARTNERS LLC, CAMERON GLENN and KATHERINE KNIGHT
10/24/2016
Consent order entered for multiple violations of the Arkansas Securities Act concerning unregistered firm, branch and agent activity.
AKAMATSU FUND
10/20/2016
Consent order entered against an issuer of covered securities for a late notice filing with the Department.
LICENSURE OF MATTHEW ROBERT BODSON, WITH STATE FARM BANK, F.S.B.
10/20/2016
Order approving licensure of Matthew Robert Bodson with State Farm Bank, F.S.B.
HRH FINANCIAL, LLC
10/13/2016
A consent order entered in connection with violations of the Rules of the Arkansas Securities Commissioner.
TALON CAPITAL, LLC, TALON CAPITAL, LP, AND CHARLES BAILEY FERRILL, JR.
09/12/2016
A cease and desist order directing the Respondents to cease and desist from offering and selling securities to residents of the State of Arkansas until such time as the securities in question and the entities and persons offering and selling the securities are all properly registered under the Arkansas Securities Act and from committing fraud or deceit in connection with the offer or sale of securities in Arkansas.