Consent order entered in connection with violations of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner regarding unregistered activity
Licensure of Seth Tedder Holifield with State Farm Bank, F.S.B.
11/08/2019
Order approving licensure of Seth Tedder Holifield with State Farm Bank, F.S.B.
Hannover House, Inc.; D. Frederick Shefte; and Eric F. Parkinson
10/08/2019
A cease and desist order directing Hannover House, Inc. to stop the sale of unregistered securities and ordering the Respondents to refrain from committing securities fraud in connection with the offer or sale of any security in Arkansas.
David Bertram Parker
10/04/2019
Order entered by the Arkansas Securities Commissioner granting limited agent registration.
Order Delegating Commissioner Duties
09/13/2019
Order delegating duties of the Commissioner temporarily to Deputy Commissioner.
Licensure of Philip A. Sugg with State Farm Bank, F.S.B.
09/03/2019
Order approving licensure of Philip A Sugg with State Farm Bank, F.S.B.
Social Automotive Management Services, LLC; Social, Inc.; and Adam B. Sharp
08/29/2019
A cease and desist order directing the Respondents to stop engaging in unregistered securities activity and to refrain from committing securities fraud in connection with the offer or sale of any security in Arkansas.
Edison Nation, Inc. f/k/a Xspand Products Lab, Inc.
08/15/2019
Consent order entered against an issuer of securities covered by Regulation A, Tier 2 for a late notice filing with the Department.
Wilshire-Pennington Group, Inc. Benjamin Daniel Kennedy III, and Benjamin Daniel Kennedy IV
08/06/2019
Consent order entered for multiple violations of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner concerning unsuitable securities recommendations, omissions of material information and supervision.