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Last updated on Thursday, July 16, 2015, 11:40 am

Former Arvest Asset Management Exec Fined for Dealings with Smiley

Faithful readers may remember our reporting several months ago (“Whispers,” Dec. 15) on Joseph Edward Bryan “Jeb” Mills, a longtime executive for Arvest Asset Management in Northwest Arkansas who was discharged from that position by a federal regulator on Oct. 10, three days after Mills learned he was being investigated by the Financial Industry Regulatory Authority Inc. (FINRA). AAM, an SEC-registered investment adviser and a FINRA member, is a subsidiary of Arvest Bank of Fayetteville. FINRA alleged that Mills, who had no prior relevant disciplinary history, violated FINRA Rule 2010 through improper execution of documents in a case involving former Arvest-Benton County president and CEO Dennis Smiley, who abruptly resigned in March 2014 and, in the aftermath of his... [ MORE ]

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