Consent order entered in connection with registration violations of the Arkansas Securities Act and the Rules of the Arkansas Securities Commissioner and affirming, as to Kevin McNay, cease and desist order No. S-12-0015-13-OR02 directing the parties to stop the offer and sale of securities in Arkansas in violation of the Act.
FWCG OPPORTUNITY FUND, L.P.
11/18/2013
Consent order entered in connection with a filing violation of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner as a notice filer for covered securities failed to file its Form D with the Department within the required time frame after the first sale in Arkansas.
UBS FINANCIAL SERVICES, INC.
11/14/2013
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.