iTrading Express
A cease and desist order directing the respondent to stop committing securities fraud in connection with...
Green Bay Packers, Inc.
A request for the Department to issue a no-action letter regarding the offering of shares of...
Paul E. Kruit
Order entered by the Arkansas Securities Commissioner approving a limited agent registration.
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...