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
02/10/2022
A cease and desist order concerning unregistered, fraudulent investment adviser activity conducted in Arkansas.
Chastain Financial, LLC and Carla Chastain
01/24/2022
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
01/24/2022
An Order granting a conditional registration for Steve Chastain Wealth Management as an investment adviser.
Chastain Financial, LLC, and Carla Chastain
01/24/2022
An Amended Cease and Desist Order that amends S-18-0051-19-OR02 to remove Stephen B. Chastain as a Respondent.
First Class Wealth Preservation, LLC and Joseph Valko
01/18/2022
A Cease and Desist Order directing First Class Wealth Preservation, LLC and Joseph Valko to cease and desist from conducting unregistered, fraudulent investment adviser activity in Arkansas.
Merrilee Joy Sandy
01/03/2022
Order entered by the Arkansas Securities Commissioner granting a limited agent registration.
Kevin Heckemeyer
12/29/2021
A Consent Order entered to summarily revoke the licensure of Kevin Heckemeyer in connection with violations of the Fair Mortgage Lending Act and the Rules of the Fair Mortgage Lending Act.
Chad Baker
12/28/2021
A Consent Order entered to summarily revoke the licensure of Chad Baker in connection with violations of the Fair Mortgage Lending Act and the Rules of the Fair Mortgage Lending Act.