A Consent Order entered to summarily revoke the licensure of Christoffer Groves in connection with violations of the Fair Mortgage Lending Act and the Rules of the Fair Mortgage Lending Act.
Brian Brown
12/22/2021
A Consent Order entered to summarily revoke the licensure of Brian Brown in connection with violations of the Fair Mortgage Lending Act and the Rules of the Fair Mortgage Lending Act.
Haidy Ibrahim
11/29/2021
A Consent Order entered to summarily revoke the licensure of Haidy Ibrahim in connection with violations of the Fair Mortgage Lending Act and the Rules of the Fair Mortgage Lending Act.
iTrading Express
11/09/2021
A cease and desist order directing the respondent to stop committing securities fraud in connection with unregistered investment adviser activity and the offer and sale of securities in Arkansas.
Paul E. Kruit
10/07/2021
Order entered by the Arkansas Securities Commissioner approving a limited agent registration.
Katie White
09/17/2021
Order entered by the Arkansas Securities Commissioner approving a limited agent registration.
Ancora Funds – Ancora/Thelan Small-Mid Cap Fund
09/15/2021
A Consent Order entered against an issuer of covered securities for a late renewal notice filing.
CUNA Brokerage Services, Inc.
09/10/2021
A Consent Order issued in connection with the firm’s failure to supervise in violation of the Arkansas Securities Act.
Element Analytics, Inc.
08/10/2021
Consent order entered against an issuer of securities exempt pursuant to Ark. Code Ann. §23-42-504(a)(13) and Rule 504.01(a)(13)(N) for a late filing with the Department.