Blue Owl Technology Income Corp.
A Consent Order entered against an issuer of securities exempt pursuant to Ark. Code Ann. Section...
Stephen L. Shields, Applicant
An order granting Stephen L. Shields conditional registration as a broker-dealer agent with Carty and Company,...
ACI Payments, Inc.
Settlement Agreement and Consent Order entered in connection with ACI Payments Inc., erroneously initiating electronic transactions...
Raymond James & Associates, Inc., and Raymond James Financial Services, Inc.
A consent order entered in connection with failing to establish and maintain a supervisory system that...
True Bullion, LLC d/b/a Gold Silver International Exchange, d/b/a GSI Exchange, and Anthony Allen Anderson
A Consent Order regarding unregistered investment adviser activity and untrue statements of material fact made in...
Stephens Inc.
Order granting a discretionary waiver of Rule 302.02(m)(1)(A) of the Rules of the Arkansas Securities Commissioner...
Robinhood Financial LLC
A Consent Order entered in connection with failing to establish and maintain supervisory systems, misrepresenting risks...
ALCOVA Mortgage
A request for the Department to issue a no action letter regarding compliance requirements of adverse...
ArkBit Capital LLC, BeefyBit Capital LLC, and NanoX Invest LLC
A Cease and Desist Order directing ArkBit Capital LLC, BeefyBit Capital LLC, NanoX Invest LLC, and...