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.
Moonlighting, LLC
03/20/2019
Consent order entered against an issuer of covered securities for a late filing with the Department.
Eagle Pioneer Fund LLC and Eagle Alcyone Fund II, LLC
03/18/2019
Consent order entered against two issuers of covered securities for late notice filings with the Department.
Metis Equity Trust – Metis International Micro Cap Portfolio
03/13/2019
Consent order entered against an issuer of covered securities for a late notice filing with the Department.
LumoXchange, LLC
03/08/2019
Consent order entered against an issuer of covered securities for a late notice filing with the Department.
Bottoms Up Real Estate Investments, LLC
02/22/2019
Consent order entered against an issuer of covered securities for a late notice filing with the Department.
Mark Steven Rogers
02/15/2019
Consent order entered in connection with violations of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner concerning unsuitable recommendations to clients and unreasonable advisory fees.
Licensure of Katelyn Ball with State Farm Bank, F.S.B.
02/14/2019
Order approving licensure of Katelyn Ball with State Farm Bank, F.S.B.