A Request for a Cease and Desist Order directing Expert-Trading, an unregistered issuer of securities, and its agents to immediately cease and desist from the fraudulent and unregistered offer and sale of securities in Arkansas.
Facebook Pay (USA) Limited
03/03/2022
A Request for Cease and Desist Order directing Facebook Pay (USA) Limited to immediately cease and desist from all money transmitter activity in Arkansas until properly licensed.
True Bullion dba GSI Exchange LLC
02/10/2022
A Request for a Cease and Desist Order concerning unregistered, fraudulent investment adviser activity conducted in Arkansas.
Chastain Financial, LLC, Carla Chastain, and Stephen B. Chastain
01/21/2022
A Motion to Amend Cease and Desist Order S-18-0051-19-OR02 to remove Respondent Stephen B. Chastain.
First Class Wealth Preservation, LLC and Joseph Valko
01/18/2022
A Request for a Cease and Desist Order concerning fraudulent, unregistered investment adviser activity in Arkansas.
iTrading Express
11/09/2021
A request for a cease and desist order concerning fraudulent and unregistered investment activity in the offer and sale of unregistered securities in Arkansas.
MyCapitalTradeFx
08/04/2021
A request for a cease and desist order concerning the fraudulent and unregistered broker-dealer and investment adviser activity in the offer and sale of unregistered securities in Arkansas by respondents.
Security Asset Management/William Barnett
03/08/2021
Request for an order summarily and immediately suspending the registration of Security Asset Management, LLC as an investment adviser and the registration of William Barnett as an investment adviser representative of Security Asset Management, LLC pending the resolution of a complaint filed against both by the Staff of the Arkansas Securities Department.
Security Asset Management/William Barnett
03/08/2021
A complaint filed by the Staff of the Arkansas Securities Department against an investment adviser and an investment adviser representative for violations of the Arkansas Securities Act and the Rules of the Arkansas Securities Commissioner.