A consent order entered against an investment adviser representative for violations of the Arkansas Securities Act and the Rules of the Arkansas Securities Commissioner related to unsuitable investment advice regarding non-traditional exchange traded products (ETPs).
Payward Ventures, Inc. d/b/a Kraken
06/17/2024
A Consent Order entered in connection with unlicensed money transmitter activity.
Plutus Financial Holdings Inc., Plutus Financial Inc., Plutus Lending LLC, Abra Boost LLC, and William “Bill” Barhydt
06/03/2024
A Consent Order entered in connection with offers and sales of unregistered securities in violation of the Arkansas Securities Act.
Truvian Sciences, Inc. – Series C
04/01/2024
A Consent Order entered against an issuer of securities exempt pursuant to Ark. Code Ann. section 23-42-504(a)(13) and Rule 504.01(a)(13)(N) for a late filing with the Department.
Sigue Corporation
03/22/2024
A Consent Order entered in connection with Sigue Corporation (915912) due to Sigue’s failure to meet financial obligations, including outstanding money transmission obligations.
Clarified, Inc. d/b/a Tumble
02/07/2024
A Consent Order entered concerning the failure to file a proof of exemption pursuant to Ark. Code Ann. Section 23-42-504(a)(9) and Rule 504(a)(9)(A).
TradeStation Crypto, Inc.
02/07/2024
A Consent Order entered in connection with unregistered offers and sales of digital asset investments in violation of the Arkansas Securities Act.
Raudel Arteaga
01/09/2024
An Order entered by the Arkansas Securities Commissioner granting a limited agent registration.
Laura Ginn
01/09/2024
An Order entered by the Arkansas Securities Commissioner granting a limited agent registration.