RBC Capital Markets, LLC
A Consent Order entered in connection with RBC Capital Market LLC’s failure to establish and maintain...
Patrick Terrance Donlon
A Settlement Agreement and Consent Order entered to permanently bar the licensure of Patrick Terrance Donlon...
Clyde N. Davis, III
An Order entered by the Arkansas Securities Commissioner granting a limited agent registration.
LPL Financial LLC
A Consent Order entered in connection with LPL Financial LLC’s failure to establish and maintain a...
Edward D. Jones & Co., L.P.
A Consent Order entered in connection with Edward D Jones & Co., L.P.’s failure to establish...
Brandon Stowe and Home Matrix SaaS
A Cease and Desist Order directing Brandon Stowe and Home Matrix SaaS to immediately cease and...
Brandon Stowe and Home Matrix SaaS
A Request for Cease and Desist Order directing the Respondents to immediately cease and desist from...
TD Ameritrade, Inc.
A Consent Order entered in connection with TD Ameritrade, Inc.’s failure to establish and maintain a...
Ledgebrook, Inc.
A Consent Order entered against an issuer of securities exempt pursuant to Ark. Code. Ann. section...