Orders

An order entered by the Arkansas Securities Commissioner granting a limited agent registration.

An order entered by the Arkansas Securities Commissioner granting a limited agent registration.

An Order entered by the Arkansas Securities Commissioner granting a limited agent registration

An Order entered summarily canceling the registration of Mercury Capital Advisors LLC, a broker-dealer firm, on the basis that they have ceased to do business as a broker-dealer as of June 23, 2025.

A Consent Order entered against an issuer of securities for a late exemption filing with the Department pursuant to Ark. Code. Ann. § 23-42-504(a)(9) and Rule 23 CAR § 300-504(b)(1)(I).

A Consent Order entered against an issuer of securities for a late exemption filing with the Department pursuant to Ark. Code. Ann. § 23-42-504(a)(13) and Rule 23 CAR § 300-504(b)(1)(M)(ii)(n).

An Order entered by the Arkansas Securities Commissioner granting a limited agent registration.

A Cease and Desist Order directing Respondents to immediately Cease and Desist from the fraudulent sale and use of proceeds of unregistered securities in the form of investment contracts to Arkansas investors.

A Consent Order entered in connection with violations of the Arkansas Securities Act.