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