Order approving limited agent registration for Stephen Earl Mills.
ELLIS SLOAN
11/04/2013
Consent order entered in connection with violations of the Arkansas Securities Act.
RBC CAPITAL MARKETS, LLC
10/31/2013
Consent order entered in connection with violations of the Arkansas Securities Act.
NAVEEN K. BHAGWANI
10/28/2013
Cease and desist order entered in connection with activity as an unregistered broker-dealer agent in the state of Arkansas, in violation of the Arkansas Securities Act.
NSM SECURITIES, INC.
10/24/2013
Consent order entered in connection with violations of the Arkansas Securities Act.
BILL.COM, INC.
10/11/2013
Consent order entered in connection with unlicensed money transmission activity in violation of the Arkansas Money Services Act.
SUMMIT BROKERAGE SERVICES, INC.
10/10/2013
Consent order entered in connection with violations of the Arkansas Securities Act.
WILLIAM WAYNE LARUE
10/10/2013
Consent order entered in connection with violations of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner.
LICENSURE OF LINDA JANE DENNY WITH STATE FARM BANK, F.S.B.
10/01/2013
Order approving licensure of Linda Jane Denny with State Farm Bank, F.S.B.