Katie White
Order entered by the Arkansas Securities Commissioner approving a limited agent registration.
Ancora Funds – Ancora/Thelan Small-Mid Cap Fund
A Consent Order entered against an issuer of covered securities for a late renewal notice filing.
CUNA Brokerage Services, Inc.
A Consent Order issued in connection with the firm’s failure to supervise in violation of the...
Element Analytics, Inc.
Consent order entered against an issuer of securities exempt pursuant to Ark. Code Ann. §23-42-504(a)(13) and...
MyCapitalTradeFx
A request for a cease and desist order concerning the fraudulent and unregistered broker-dealer and investment...
MyCapitalTradeFX
A cease and desist order directing respondents to stop committing securities fraud in connection with unregistered...
Maria Elena Carbone Coyne
Order entered by the Arkansas Securities Commissioner approving limited agent registration.
Cetera Investment Services, LLC
A Consent Order issued in connection with the firm’s failure to supervise in violation of the...
David Butler
Order granting David Butler conditional registration as a Broker Dealer Agent with Veritas Independent Partners, LLC.