An order granting William Swanner conditional registration as a broker-dealer agent with Chelsea Financial Services.
LICENSURE OF HEATHER POWELL, WITH STATE FARM BANK, F.S.B.
07/07/2016
Order approving licensure of Heather Powell with State Farm Bank, F.S.B.
CEDARS FINANCIAL, LLC
06/03/2016
Consent order entered against an issuer of covered securities for failing to notice file its SEC Form D with the Department.
OKLAHOMA FINANCIAL, LLC
06/03/2016
Consent order entered against an issuer of covered securities for failing to notice file its SEC Form D with the Department.
COLUMBIA FINANCIAL, LLC
06/03/2016
Consent order entered against an issuer of covered securities for failing to notice file its SEC Form D with the Department.
LPL FINANCIAL LLC
04/26/2016
Consent order entered in connection with violations of the Arkansas Securities Act and the Rules of the Arkansas Securities Commissioner.
SAGITTARII FUND, LLC
04/18/2016
Consent order concerning the sale of securities through the omission of material information in violation of the Arkansas Securities Act.
LICENSURE OF AMANDA RUTH FRIEDMAN WITH STATE FARM BANK, F.S.B.
04/08/2016
Order approving licensure of Amanda Ruth Friedman with State Farm Bank, F.S.B.
JUSTIN MARSHALL CONWAY
03/30/2016
Order entered approving a limited agent registration for Justin Marshall Conway.