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MICHAEL HAZEN MARTIN

Consent order entered in connection with Martin’s actions as an investment adviser representative and the replacement of securities with equity indexed annuities. The order includes findings of securities fraud as defined in Ark. Code Ann. § 23-42-307 and violations of Rules 302.02(c)(3), 308.02(m)(4), Rules of the Arkansas Securities Commissioner; and violation of fiduciary duty. Martin is suspended for one year, fined $50,000 and permitted to re-apply after the one-year suspension under certain conditions.

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