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Posts tagged
'Heath Abshure'

Hutchinson plans change at Securities Department

State Securities Commissioner Heath Abshure tells me he was informed yesterday by a representative of the incoming Hutchinson administration that Asa Hutchinson would be naming a new director of the state Securities Department, which oversees the securities business.
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Candace Franks to remain as Arkansas bank commissioner

The Asa Hutchinson transition team announced today that the incoming governor would keep Candace Franks state bank commissioner. She's been with the State Bank Department for 35 years and commissioner since 2007.
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Hearing officer appointed in treasurer's office cases at Securities Commission

Arkansas Securities Commissioner Heath Abshure has appointed North Little Rock lawyer Jack Pruniski as a hearing officer to hear two cases growing out of controversial dealings between former Arkansas Treasurer Martha Shoffner and an Arkansas securities firm.

Securities Department moving against firm that employed broker who benefited from Shoffner business

Arkansas Business reports that the Arkansas Securities Department is seeking to suspend or revoke the license of St. Bernard Financial, the Russellville-based securities firm that employed Steele Stephens during part of the time when he made $2.5 million in commissions from business with state Treasurer Martha Shoffner. The firm contends it has no culpability for Stephens' actions.
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Senator proposes to cut pay of Securities Commissioner Heath Abshure

Arkansas Securities Commissioner Heath Abshure, a target of the state's biggest investment house, Stephens Inc., found himself today targeted for a pay cut by Republican Sen. Bryan King.

Securities Department responds to GOP pressure for more investigation of Shoffner case; evidence insufficient so far

Arkansas Republicans aren't through milking the opportunity given by federal charges against former Treasurer Martha Shoffner, a Democrat, for taking cash payments from a securities dealer who did a huge amount of business with Shoffner's office.
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Investors beware: If it's too good to be true ...

The New York Times has a good cautionary story today. It's about how people looking at low interest rates of conventional investments have been drawn to risky propositions to improve their retirement outlook.

Securities commissioner comments on review of state trading

I wrote more than a week ago that reviews were underway — by legislative audit and the state Securities Department — that might take a look at a subject of discussion in the brokerage community.
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Securities commissioner raps Morgan Keegan

Securities Commissioner Heath Abshure announced today he'd reached a consent agreement with Morgan Asset Management and Morgan Keegan over charges that the securities firm's employees had provided inaccurate and misleading information to Arkansas residents who invested in seven Morgan Keegan funds.
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