All Orders

Order approving licensure of Heather Haymon Doucet with State Farm Bank, F.S.B.

Consent Order requiring restitution to two Arkansas investors and directing the respondents to stop the offer and sale of unregistered securities in Arkansas and to refrain from selling securities through the use of misstatements and omissions of material information in violation of the Act. This Order affirms two prior cease and desist orders against respondents, Order Nos. S-12-0015-13-OR02 and S-12-0015-14-OR06

A cease and desist order directing the respondents to cease and desist offering unregistered securities until such time as the securities are properly registered or shown to be exempt from registration.

Consent order entered in connection with the registration of Dennis Officer as a representative of Lexington Research and Capital Group, LLC, an SEC registered investment adviser.

Consent order entered in connection with Martin’s actions as an investment adviser representative and the replacement of securities with equity indexed annuities. The order includes findings of securities fraud as defined in Ark. Code Ann. § 23-42-307 and violations of Rules 302.02(c)(3), 308.02(m)(4), Rules of the Arkansas Securities Commissioner; and violation of fiduciary duty. Martin is suspended for one year, fined $50,000 and permitted to re-apply after the one-year suspension under certain conditions.

Consent order entered in connection with a filing violation of the Arkansas Securities Act. and Rules of the Arkansas Securities Commissioner as a notice filer for covered securities failed to file its Form D with the Department within the required time frame after the first sale in Arkansas.

A cease and desist order directing the respondents to stop the offer or sale of unregistered securities in Arkansas and to refrain from committing fraud or deceit in connection with the offer or sale of any security in Arkansas.

Order approving licensure of Max R. Garnett with State Farm Bank, F.S.B.

Consent order entered in connection with a filing violation of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner as a notice filer for covered securities failed to file its Form D with the Department within the required time frame after the first sale in Arkansas.