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DAVID ALAN MULLENAX

Consent order entered into with David Alan Mullenax in connection with Mullenax’s recommendations while acting as an investment adviser representative and broker-dealer agent to purchase and hold certain non-traditional exchange traded funds (EFTs) for more than the one-day period for which they were designed. The order includes findings that the recommendations were unsuitable and in violation of Rules 308.01(d) and 308.02(a), Rules of the Arkansas Securities Commissioner, and Ark. Code Ann. § 23-42-308(a)(2)(G).

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