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.
John C. Hamilton
A consent order concerning violations of the Arkansas Securities Act and the Rules of the Arkansas...
Andrew S. Lee
A consent order concerning violations of the Arkansas Securities Act including acting as an unregistered investment...
Security Asset Management/William Barnett
A consent order issued in connection with violations of the Arkansas Securities Act and Rules of...
Metals.com A/K/A TMTE Inc. A/K/A Chase Metals, Inc. A/K/A Chase Metals, LLC
A Consent Order finalizing a Cease and Desist Order entered against the Respondents on March 9,...
Security Asset Management/William Barnett
Request for an order summarily and immediately suspending the registration of Security Asset Management, LLC as...
Security Asset Management/William Barnett
A complaint filed by the Staff of the Arkansas Securities Department against an investment adviser and...