Sara Lynn Beltran An Order entered by the Arkansas Securities Commissioner granting a limited agent registration. Read More
GS Partners Global, Swiss Valorem Bank, and Josip Heit A Request for a Cease and Desist Order directing GS Partners Global, Swiss Valorem Bank and... Read More
GS Partners Global, Swiss Valorem Bank, and Josip Heit A Cease and Desist Order directing GS Partners Global, Swiss Valorem Bank and Josip Heit to... Read More
Blue Owl Technology Income Corp. A Consent Order entered against an issuer of securities exempt pursuant to Ark. Code Ann. Section... Read More
Stephen L. Shields, Applicant An order granting Stephen L. Shields conditional registration as a broker-dealer agent with Carty and Company,... Read More
ACI Payments, Inc. Settlement Agreement and Consent Order entered in connection with ACI Payments Inc., erroneously initiating electronic transactions... Read More
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... Read More
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... Read More
Stephens Inc. Order granting a discretionary waiver of Rule 302.02(m)(1)(A) of the Rules of the Arkansas Securities Commissioner... Read More