A Consent Order entered against an issuer of securities exempt pursuant to Ark. Code Ann. section 23-42-504(a)(13) and Rule 504.01(a)(13)(N) for a late filing with the Department.
Clarified, Inc. d/b/a Tumble
02/07/2024
A Consent Order entered concerning the failure to file a proof of exemption pursuant to Ark. Code Ann. Section 23-42-504(a)(9) and Rule 504(a)(9)(A).
TradeStation Crypto, Inc.
02/07/2024
A Consent Order entered in connection with unregistered offers and sales of digital asset investments in violation of the Arkansas Securities Act.
Raudel Arteaga
01/09/2024
An Order entered by the Arkansas Securities Commissioner granting a limited agent registration.
Laura Ginn
01/09/2024
An Order entered by the Arkansas Securities Commissioner granting a limited agent registration.
Thomas Edward Stanton
12/13/2023
An Order entered by the Arkansas Securities Commissioner granting a limited agent registration.
Rhonda J. Hopewell
12/13/2023
An Order entered by the Arkansas Securities Commissioner granting a limited agent registration.
Sara Lynn Beltran
12/13/2023
An Order entered by the Arkansas Securities Commissioner granting a limited agent registration.
GS Partners Global, Swiss Valorem Bank, and Josip Heit
11/22/2023
A Cease and Desist Order directing GS Partners Global, Swiss Valorem Bank and Josip Heit to immediately cease and desist from the fraudulent and misleading offer and sale of unregistered securities in the form of MetaCertificates to Arkansas investors.