Tagged: stephens inc

Stephens Inc. Fined $900K for Lax Supervision of Internal Emails

by Gwen Moritz 5/11/2016 4:32 pm

Stephens Inc. consented to the FINRA fine without admitting or denying the findings, and spokesman Frank Thomas told Arkansas Business that Stephens Inc. would not comment on the order.

Stephens Inc.'s Ethics Complaint Against Heath Abshure Dismissed

by Gwen Moritz 3/26/2014 11:36 am

The Arkansas Ethics Commission voted 4-0, with one member not present, to dismiss the complaint against Arkansas Securities Commissioner Heath Abshure that Stephens General Counsel David Knight filed in November. Abshure says he never saw any gray area in the settlements that included donations to NASAA.

Arvest Tops List of Trust Departments

by Gwen Moritz 10/14/2013 12:00 am

This week, Arkansas Business presents three industry lists with the common theme of wealth management: broker-dealers, money managers and trust departments.