Order granting David Butler conditional registration as an investment adviser representative with EGP Wealth Management, LLC.
Revive Solutions, Inc.
02/05/2019
Consent order entered against an issuer of covered securities for a late notice filing with the Department.
LPL Financial, LLC
01/22/2019
Consent order entered in connection with violations of the Arkansas Securities Commissioner concerning LPL inconsistently classifying securities on client account statements.
Hightimes Holdings Corp.
01/14/2019
Consent order entered against an issuer of covered securities for a late notice filing with the Department.
Licensure Of Juan Francisco Barcenas with State Farm Bank, F.S.B.
01/02/2019
Order approving licensure of Juan Francisco Barcenas with State Farm Bank, F.S.B.
7-Hybrid Cultivation LLC
11/06/2018
Consent order entered concerning employing unregistered agents of the issuer in violation of the Arkansas Securities Act.
Upstart Network Trust
10/26/2018
Consent order entered against an issuer of covered securities for a late notice filing with the Department.
LPL Financial LLC
10/24/2018
Consent order entered in connection with violations of the Arkansas Securities Act and the Rules of the Arkansas Securities Commissioner.
Marble Ridge LP
10/24/2018
Consent order entered against an issuer of covered securities for a late notice filing with the Department.