A Consent Order regarding the sale of unregistered securities and an untrue statement of material fact made in connection with the sale of securities in Arkansas. BlockFi Lending LLC agreed to pay an administrative fine of $943,396.22 and perform certain undertakings under the Consent Order.
BlockFi Lending LLC
Danny Yen d/b/a Real Estate Educational Services, Wendy Yen, and Dat Yen a/k/a Pat Yen
A Consent Order entered against a mortgage education provider in connection with a coordinated mortgage loan office fraud scheme.
Deft, a Series of Jason’s Syndicate, LLC
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.
Travis Lee Lowe
Order entered by the Arkansas Securities Commissioner granting a limited agent registration.
Facebook Pay (USA) Limited
A Cease and Desist Order directing Facebook Pay (USA) Limited to immediately cesae and desist all money transmitter activity in Arkansas until properly licensed.
Palm Beach Capital Corp. and John Townshend
A Consent Order through which the Respondents agreed to withdraw their registrations in connection with violations of the Arkansas Securities Act related to unsuitable investment advice and violation of fiduciary duty.
True Bullion LLC dba GSI Exchange LLC
A cease and desist order concerning unregistered, fraudulent investment adviser activity conducted in Arkansas.
Chastain Financial, LLC and Carla Chastain
A Consent Order through which Chastain Financial, LLC and Carla Chastain agree to withdraw a hearing request on a Cease and Desist Order and peform certain undertakings.
Steve Chastain Wealth Management
An Order granting a conditional registration for Steve Chastain Wealth Management as an investment adviser.