Tagged: david knight

Motivating Factors (Gwen Moritz Editor's Note)

by Gwen Moritz 4/21/2014 12:00 am

My high school journalism teacher taught me about five Ws and an H — who, what, when, where, why and how. Approximately 1,000 years later, I've concluded that that fifth W is the most problematic.

Rogue Broker at Stephens Inc. Caused Penalty, $1.9M Claim

by George Waldon 2/17/2014 12:00 am

Lost in the political fracas between the Arkansas Securities Department and Stephens Inc. is the event that started it all: a customer complaint against a former Stephens stockbroker, William Wayne LaRue.

Stephens Inc. Asks Legislators to Consider Changes to Securities Law

by Gwen Moritz 1/22/2014 05:10 pm

Stephens Inc. of Little Rock suggests changes to state law that would, among other things, move all state securities enforcement actions into the court system. The investment firm made its suggestions in a legislative hearing about its grievance against state Securities Commissioner Heath Abshure.

Lawmakers to Hear More in Abshure, Stephens Conflict

by Gwen Moritz 1/13/2014 12:00 am

Arkansas Securities Commissioner Heath Abshure took heat from legislators for more than an hour last week, but threatening weather forced the Joint Performance Review Committee to recess before any other witnesses could be heard.

State Securities Regulator Heath Abshure Disputes Ethics Complaint by Stephens Inc.

by Gwen Moritz 12/2/2013 12:00 am

Stephens Inc. of Little Rock has accused Arkansas Securities Commissioner Heath Abshure of illegally steering more than $170,000 to his “favorite charities” and of retaliating when Stephens refused to make such a donation while negotiating a recent settlement.