This year marks the 150th anniversary of the Civil War, and events will commemorate that milestone here in Missouri and around the country. Our state was deeply divided during the Civil War, and the State Archives, a division of my office, is home to thousands of documents that tell the story of the war and the toll it took on so many families on and off the battlefield.
From the SOS Office: Secretary of State Robin Carnahan today announced an agreement with two Southwest Missouri men to return more than $850,000 to investors who were sold unregistered securities with promises of annual returns of more than 50 percent.
From the SOS Office: Missouri Secretary of State Robin Carnahan today announced a cease and desist order has been issued against a Springfield investment adviser for allegedly misleading his clients into purchasing equity indexed annuities. According to the order, the adviser, Tracy W. Mitchell, used free lunch investment seminars to promote himself as a financial planner offering financial advice – mostly to senior citizens
From the SOS Office: Missouri Secretary of State Robin Carnahan today announced that Darin Hustead and his Freedom Ridge Partners, LLC, of Branson West, Mo., have been ordered to stop conducting business after allegedly selling unregistered securities to elderly investors and using the money to provide loans to Hustead and his family.
From the SOS Office: Missouri Secretary of State Robin Carnahan yesterday addressed the Missouri House of Representatives on the opening day of the 96th Regular Session. By law, the Secretary of State presides over the opening of each session until a duly elected Speaker is chosen.
From the SOS Office: Missouri Secretary of State Robin Carnahan today released the findings of her office’s statewide examination of the practices used by Missouri’s broker-dealer and investment adviser firms to protect their senior clients. Specific audit findings for individual firms are not public, but statewide trends suggest more should be done to address the unique investment challenges faced by aging clients.
From the SOS Office: Missouri Secretary of State Robin Carnahan today announced that James McClellan, Jr., of Chesterfield, Mo., has been permanently barred from working in the securities industry after he sold more than $4 million worth of unregistered real estate investments to Missouri residents. Carnahan also announced sanctions against McClellan’s former employer, Huntleigh Securities Corporation, censuring the firm and requiring it to pay $100,000 for failing to supervise the agent, who sold securities “off the books.”
