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.
Blue Owl Technology Income Corp.
11/08/2023
A Consent Order entered against an issuer of securities exempt pursuant to Ark. Code Ann. Section 23-42-402 for a late filing with the Department.
Stephen L. Shields, Applicant
11/01/2023
An order granting Stephen L. Shields conditional registration as a broker-dealer agent with Carty and Company, Inc.
ACI Payments, Inc.
10/17/2023
Settlement Agreement and Consent Order entered in connection with ACI Payments Inc., erroneously initiating electronic transactions in violation of the Uniform Money Services Act.
Raymond James & Associates, Inc., and Raymond James Financial Services, Inc.
10/03/2023
A consent order entered in connection with failing to establish and maintain a supervisory system that is reasonably designed to achieve compliance with securities laws and regulations pursuant to Ark. Code Ann. §§ 23-42-301(f) and 23-42-308(a)(2)(J), and Rule 301.01(c).
True Bullion, LLC d/b/a Gold Silver International Exchange, d/b/a GSI Exchange, and Anthony Allen Anderson
08/28/2023
A Consent Order regarding unregistered investment adviser activity and untrue statements of material fact made in connection with the sale of precious metals in Arkansas by True Bullion, LLC d/b/a GSI Exchange (“True Bullion”). The Consent Order finds that True Bullion will offer a refund to those investors who purchased precious metals prior to July 22, 2021. This order settles the Cease and Desist Order No. S-21-0009-22-OR02 entered against True Bullion on February 9, 2022.