Arkansas Securities Department
Arkansas Flexes Regulatory Power With Enforcement Actions Against Financial Giants
The Arkansas Securities Department kicked off 2025 with four major national enforcement actions totaling more than $200 million in settlements. read more >
by Chloe McGehee -
Arkansas Securities Department Joins $106M Settlement with Vanguard
State regulators secured a share of a $106 million settlement with investment giant Vanguard, with 700 local accounts already identified for restitution and more still being uncovered. read more >
Arkansas Joins $80M Enforcement Action Against Cash App Parent Company
Arkansas will receive nearly $1.8 million as part of a settlement with Block, Inc. for violations of Bank Secrecy Act and anti-money laundering laws. read more >
Arkansas Securities Department Joins $20M Settlement with Mortgage Servicing Company
Arkansas will receive $109,006 after state financial regulators reached a $20 million settlement with Bayview Asset Management and its affiliates following a major data breach. read more >
Arkansas Receives $335K Through Settlement with Edward Jones
Arkansas will receive $335,000 as part of the settlement, which found that Edward Jones had supervisory failures with respect to Class A mutual fund shares. read more >
Banco Sí Growing In Northwest Arkansas
The first Banco Sí branch opened on South First Street in Rogers in September 2022. The success at that location prompted a second branch on East Emma Avenue on June 24 in Springdale. read more >
by Marty Cook -
Arkansas Joins $1.5M Settlement Against Crypto Platform
The investigation determined that TradeStation Crypto Inc. engaged in the unregistered offer and sale of securities. read more >
State Joins $13M Settlement With Raymond James Over High Fees
More than 3,544 Arkansas-based transactions were marked up more than 5%, totaling more than $113,413. read more >
Arkansas to Receive Portion of $10.2M Settlement with Robinhood
The online brokerage is paying penalties and fines over a platform outage in March 2020 that prevented retail traders from making trades. read more >
Crouch Advances at Securities Department (Movers & Shakers)
Amber Crouch has been promoted to general counsel at the Arkansas Securities Department. read more >
Eric Munson Resigns as State Securities Commissioner
He had led the department since May 2020. read more >
by Scott Carroll -
Former Razorback to Manage State’s Investor Education Program
He has more than 25 years of experience in the securities industry. read more >
Arkansas Metal Investors Defrauded in $68M National Scheme, Regulators Say
State and federal authorities say a California company lied to investors. read more >
by Scott Carroll -
UA Professors Manage Fund Now at $1.5M
The White River Fund of White River Capital Advisors began as a jest between University of Arkansas colleagues in their Fayetteville office. read more >
McLaurin Named Deputy Commissioner of State Securities Department
Campbell McLaurin is named deputy commissioner of the Arkansas Securities Department. read more >
Cryptocurrency Scams Trap Arkansans
An Arkansan’s $500 investment in bitcoin ballooned to a purported $13,500 before it was revealed to be a scam. read more >
by Mark Friedman -
Hannover House Owes Millions, Seeks New Investors
A Fayetteville penny-stock film distributor dealing with millions in legal judgments and a state securities fraud finding is framing a comeback story: trying to raise $8 million to launch a video streaming service. read more >
by Mark Friedman -
Merchant Cash Advances Draw Fire
Desperate businesses that turned to merchant cash advance companies for rescue found their lifeline shackled to high interest rates, hidden fees and long-term debt, several lawsuits claim. read more >
by Mark Friedman -
Securities Commissioner Eric Munson Bucks Fraud Trends
Eric Munson says perpetrators of confidence schemes are called “artists” for a reason: They expertly exploit victims’ hopes and fears. read more >
Investment Adviser Adam Kuettel Suspended by State
Troubled investment adviser Adam Kuettel has added a new problem to his list: the Arkansas Securities Department. read more >
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Arkansas Flexes Regulatory Power With Enforcement Actions Against Financial Giants
