All Orders

Consent order for denial of application for and revocation of broker-dealer agent registration for violations of the Arkansas Securities Act and the Rules of the Arkansas Securities Commissioner.

A consent order entered in connection with acting as an unregistered investment adviser ( a violation of Ark. Code Ann. §§ 23-42-304(a)) and engaging in an act, practice or course of business that operates or would operate as a fraud or deceit upon another person (violations of Ark. Code Ann. §§ 23-42-307(2) and 23-42-507(3)).

Consent order entered in connection with violations of the Arkansas Securities Act and the Rules of the Arkansas Securities Commissioner.

Consent order entered in connection with unlicensed mortgage broker and banker activity in violation of the Arkansas Fair Mortgage Lending Act.

Consent order entered in connection with violations of the Rules of the Arkansas Securities Commissioner.

Order approving licensure of Matthew McCarty with State Farm Bank, F.S.B.

A consent order entered in connection with acting as an unregistered investment adviser ( a violation of Ark. Code Ann. §§ 23-42-304(a)) and engaging in an act, practice or course of business that operates or would operate as a fraud or deceit upon another person ( violations of Ark. Code Ann. §§ 23-42-307(2) and 23-42-507(3)).

A cease and desist order entered in connection with unregistered broker-dealer agent activity committed in violation of the Arkansas Securities Act.

Order approving a limited agent registration for Michael T. Bongiorno.