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.
Matthew Leon White
10/17/2018
A consent order entered in connection with violations of the Rules of the Arkansas Securities Commissioner and also approving the investment adviser registration application of Meraki, LLC d/b/a White McGowen.
Gerald Donner, Jr. and Auxarc Asset Management Company
10/10/2018
A consent order entered in connection with violations of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner concerning the unsuitable recommendation to clients to purchase and hold Non-Traditional ETFs for extended periods of time.
Edward D. Jones & Co., L.P.
09/13/2018
Consent order entered in connection with violations of the Arkansas Securities Act.