Consent order entered in connection with violations of the Arkansas Securities Act.
STEPHEN EARL MILLS
11/12/2013
Order approving limited agent registration for Stephen Earl Mills.
ELLIS SLOAN
11/04/2013
Consent order entered in connection with violations of the Arkansas Securities Act.
RBC CAPITAL MARKETS, LLC
10/31/2013
Consent order entered in connection with violations of the Arkansas Securities Act.
NAVEEN K. BHAGWANI
10/28/2013
Cease and desist order entered in connection with activity as an unregistered broker-dealer agent in the state of Arkansas, in violation of the Arkansas Securities Act.
NSM SECURITIES, INC.
10/24/2013
Consent order entered in connection with violations of the Arkansas Securities Act.
BILL.COM, INC.
10/11/2013
Consent order entered in connection with unlicensed money transmission activity in violation of the Arkansas Money Services Act.
SUMMIT BROKERAGE SERVICES, INC.
10/10/2013
Consent order entered in connection with violations of the Arkansas Securities Act.
WILLIAM WAYNE LARUE
10/10/2013
Consent order entered in connection with violations of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner.