A cease and desist order ordering Chastain Financial, LLC, Carla Chastain and Stephen B. Chastain to cease and desist all activities acting as an unregistered investment adviser, acting as an unregistered investment adviser representative and committing securities fraud
Joshua Matthew Brock
07/10/2019
Order entered by the Arkansas Securities Commissioner granting limited agent registration.
Licensure of Keith Douglas Brooks with State Farm Bank, F.S.B.
06/14/2019
Order approving licensure of Douglas Brooks with State Farm Bank, F.S.B.
Licensure of Melvin K. Padgett with State Farm Bank, F.S.B.
05/22/2019
Order approving licensure of Melvin K. Padgett with State Farm Bank, F.S.B.
Licensure of Catherine Jennings Dillon with State Farm Bank, F.S.B.
05/09/2019
Order approving licensure of Catherine Jennings Dillon with State Farm Bank, F.S.B.
Ronald Patrick Cameron
05/06/2019
A consent order entered in connection with violations of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner and also approving the dual registration of Ronald P. Cameron as a broker-dealer agent with International Asset Advisory, LLC and as an investment adviser representative with International Assets Investment Management, LLC.
Crews and Associates, Inc.
04/12/2019
Consent order entered against broker-dealer for failure to comply with books and records requirements.
David Butler
04/10/2019
Order amending the heightened supervision plan of David Butler.
Hot Coe Coe LLC a/k/a Diclops.com
03/26/2019
Cease and desist order concerning the offer for sale of unregistered, non-exempt securities through the use of omissions and misstatements of material facts.