Legal Docs

J.D. NICHOLAS & ASSOCIATES, INC. f/k/a A&F FINANCIAL SECURITIES, INC. and GREGORY THOMAS DEAN

A consent order entered for failing to comply with federal telemarketing and National Do Not Call Registry restrictions, failing to enforce a system to supervise the activities of broker-dealer agents, and charging customers undisclosed fees, in violation of the Arkansas Securities Act and the Rules of the Arkansas Securities Commissioner.