An order entered by the Arkansas Securities Commissioner granting a limited agent registration.
Christopher W. Thompson Jr.
06/27/2025
An order entered by the Arkansas Securities Commissioner granting a limited agent registration.
Steven Scott Jones
06/27/2025
An order entered by the Arkansas Securities Commissioner granting a limited agent registration.
Vanguard Marketing Corporation and The Vanguard Group, Inc.
06/12/2025
A Consent Order in connection with a failure to supervise certain registered persons and for failing to disclose potential tax consequences to investors following a change in investment minimums for certain target date retirement funds.
Naresh Patel
05/27/2025
A Consent Order entered against Naresh Patel for acting as an unregistered broker dealer in Arkansas.
BAM Trading Services Inc. D/B/A Binance.US
05/23/2025
Agreement with the Arkansas Securities Department, other Participating States and BAM Trading Services Inc. dba Binance.US (“BAM Trading”) to prohibit Changpeng Zhao from (i) serving in any managerial role at BAM Trading or BAM Management US or (ii) exerting a controlling influence over the management or policies of BAM Trading or BAM Management US, as defined in the Agreement.
Brock H. McCracken
05/22/2025
An order entered by the Arkansas Securities Commissioner granting a limited agent registration.
Clayton A. Thomas
05/22/2025
An order entered by the Arkansas Securities Commissioner granting a limited agent registration.
Scott R. Westphal
05/22/2025
An order entered by the Arkansas Securities Commissioner granting a limited agent registration.