Consent order entered against an issuer of covered securities for a late filing with the Department.
Adam Curry Smith
03/15/2017
Consent order entered concerning violations of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner involving accepting substantial gifts from a client and violating firm compliance policy.
Suntrust Mortgage, Inc.
03/13/2017
Consent order entered in connection with violations of the Arkansas Fair Mortgage Lending Act regarding unlicensed mortgage loan officer activity.
ProEquities, Inc. and Aaron John Fulton
03/13/2017
Consent order entered concerning unregistered agent activity in violation of the Arkansas Securities Act.
Lamarcus Rhashaun Coleman; Augustus Capital Management, LLC and Coleman & Co, LLC
03/07/2017
A cease and desist order directing the respondents to stop engaging in unregistered securities activity and to refrain from committing fraud or deceit in connection with the offer or sale of any security in Arkansas.
Licensure of Jeffrey Gregg Millerd with State Farm Bank, F.S.B.
03/07/2017
Order approving licensure of Jeffrey Gregg Millerd with State Farm Bank, F.S.B.
European Hedge Fund LLC
03/03/2017
Consent order entered against an issuer of covered securities for a late notice filing with the Department.
Douglas E. Anderson
02/14/2017
Consent order denying respondents application as an investment adviser representative for failing to disclose liens and civil judgements in violation of the Arkansas Securities Act.
Lawson Financial Corporation
02/08/2017
Summary order canceling registration entered by the Arkansas Securities Commissioner canceling the broker-dealer registration of Lawson Financial Corporation in the state of Arkansas.