Order approving licensure of Justin Alan Ray with State Farm Bank, F.S.B.
GPB AUTOMOTIVE PORTFOLIO, LP
07/22/2016
Consent order entered against an issuer of covered securities for a late notice filing with the Department.
WILLIAM SWANNER, APPLICANT
07/20/2016
An order granting William Swanner conditional registration as a broker-dealer agent with Chelsea Financial Services.
LICENSURE OF HEATHER POWELL, WITH STATE FARM BANK, F.S.B.
07/07/2016
Order approving licensure of Heather Powell with State Farm Bank, F.S.B.
CEDARS FINANCIAL, LLC
06/03/2016
Consent order entered against an issuer of covered securities for failing to notice file its SEC Form D with the Department.
OKLAHOMA FINANCIAL, LLC
06/03/2016
Consent order entered against an issuer of covered securities for failing to notice file its SEC Form D with the Department.
COLUMBIA FINANCIAL, LLC
06/03/2016
Consent order entered against an issuer of covered securities for failing to notice file its SEC Form D with the Department.
LPL FINANCIAL LLC
04/26/2016
Consent order entered in connection with violations of the Arkansas Securities Act and the Rules of the Arkansas Securities Commissioner.
SAGITTARII FUND, LLC
04/18/2016
Consent order concerning the sale of securities through the omission of material information in violation of the Arkansas Securities Act.