Administrative Orders

Year 1998


98-077-S
12/30/1998

ARKANSAS BREAD COMPANY, INC.

Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12).

 

98-078-S
12/29/1998

S&W ENGINEERING

Order providing transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12)

 

 

98-075-S
12/15/1998

NORTHWEST CONTROLS SYSTEMS, INC.

Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12).

 

 

98-074-S
12/11/1998

GUS BLASS, II

Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(8).

 

 

98-076-S
12/2/1998

D.H. BLAIR & CO., INC.

Consent Order

 

98-063-S
11/25/1998

TRINITY COURT PLACE LIMITED PARTNERSHIP

Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12).

 

98-062-S
11/24/1998

COMMUNITY BANK LIFE & HEALTH INSURANCE COMPANY

Order exempting the offer and sale of certain securities pursuant to Ark. Code Ann. § 23-42-504(a)(12).

 

98-060-S
11/20/1998

FTN ASSOCIATES, LTD.

Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(8).

 

 

98-059-S
11/13/1998

UNIQUE FINANCIAL CONCEPTS, INC.;

STEVEN SILVERSTEIN

AND ALL PERSONS IN CONTROL OF, EMPLOYEED BY OR OTHERWISE AFFILIATED WITH THOSE PERSONS OR ENTITIES

Cease and Desist Order for transacting business as a broker-dealer or agent without being registered and selling unregistered securities.

 

 

98-058-S
11/6/1998

CHRISTIAN INVESTORS FOUNDATION

Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-503(a)(7).

 

 

98-057-S
11/6/1998

THE ARKANSAS MODEL ACCREDITED INVESTORS EXEMPTION

Order exempting certain offers and sales of securities soley to accredited investors pursuant to Ark. Code Ann. § 23-42-504(a)(12).

 

98-056-S
10/7/1998

GLENN MICHAEL FINANCIAL, INC.

 MAHER TALAT ZAITOUN

Cease and Desist Order for transacting business as a broker-dealer or agent without being registered.

 

98-054-S
10/7/1998

MOUNTAIN LAND GROUP, LLC.

Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12)

 

 

98-055-S
10/6/1998

COUNTRY CLUB RESORTS, INC.

Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12).

 

 

98-053-S
10/2/1998

WELS CHURCH EXTENSION FUND, INC.

Order providing a tranactional exemption from registration pursuant to Ark. Code Ann. § 23-42-503(a)(7).

 

 

98-052-S
9/30/1998

FENMORE INTERNATIONAL, LTD.,

LIBERTY FINANCIAL PRODUCERS, LTD.;

ANWAR HEIDARY, ROBERT POVEY, JERRY VOSSELMAN, RAYMOND E. MOORE

Cease and Desist Order for sale of unregistered securities, for acting as a broker-dealer and agent without being registered.

 

98-051-S
9/25/1998

FAMILY CAPITAL HOLDINGS, INC.;

GERALD W. JONES, JOSEPH C. DAVID, JR.

AND RON LEDFORD

Cease and Desist Order for sale of unregistered securities.

 

 

98-042-S
9/15/1998

PRICKETT'S GROCERY, INC.;

HORRACE PRICKETT

Order providing a transactional exemption pursuant to Ark. Code Ann. § 23-42-504(a)(12).

98-050-S
9/14/1998

GUS BLASS, III

Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(8).

 

 

98-049-M
9/4/1998

U. S. MORTGAGE, INC.

Cease and Desist Order issued pursuant to Ark. Code Ann. § 23-39-202(b)(1).

 

98-047-S
8/28/1998

STEPHENS INVESTMENT PARTNERS III, LLC.

Order providing a waiver of the number of purchasers pursuant to Ark. Code Ann. § 23-42-504(a)(9)(B).

 

 

98-046-S
8/21/1998

DUNN INSURANCE AGENCY, INC.

CITIZENS BANK AND TRUST

WESTERN BANCSHARES, INC.

Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12).

98-045-S
8/13/1998

J.P. TURNER & COMPANY, LLC., STEPHEN CARCATERRA, AND ALL PERSONS EMPLOYED BY OR OTHERWISE AFFILIATED WITH THE RESPONDENTS WHOSE IDENTITY IS UNKNOWN

Amended Cease and Desist Order for transacting business as a broker-dealer or agent without being registered.

98-044-S
7/16/1998

GULF POWER COMPANY

Order extending exemption period of certain securities pursuant to Ark. Code Ann. § 23-42-503(a)(5).

98-043-S
6/26/1998

PROGRESSIVE NATIONAL MORTGAGE COMPANY, LLC.

Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12).

98-041-S
6/15/1998

ARKANSAS WOMEN'S HEALTH CENTER, INC.

Order providing a transactional exemption pursuant to Ark. Code Ann. § 23-42-504(a)(12).

98-040-S
6/2/1998

MASTERS FINANCIAL GROUP, INC.

Summary Order suspending registration pursuant to Ark. Code Ann. § 23-42-308(c)(1) and Rule 601.07(B).

98-039-S
5/29/1998

ZENITH INVESTMENT GROUP

DONALD FOSS AND DENNIS EARL WILLIAMS

Cease and Desist Order for sale of unregistered securities.

98-038-S
5/22/1998

CREWS AND ASSOCIATES

Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12).

98-033-S
5/1/1998

DELEGATION OF DUTIES OF THE SECURITIES COMMISSIONER TO REBECCA BERRY, DEPUTY COMMISSIONER

98-031-S
4/29/1998

COVERED SECURITIES PURSUANT TO SECTION 18(b) AND 18(b)(4)(D) OF THE FEDERAL SECURITIES ACT OF 1933

Order waiving requirements pursuant to Ark. Code Ann. § 23-42-509(f).

98-032-S
4/29/1998

PERSONS EFFECTING CERTAIN TRANSACTIONS IN COVERED SECURITIES

Order exempting persons who effect certain transactions in covered securities from the definition of agent pursuant to Ark. Code Ann. § 23-42-102(2)(B)(i)(c).

98-030-S
4/22/1998

 BEATY & GILLSON HOLDINGS, LLC.

Order providing a transactional exemption from registration pursuant to Ark. Code Ann § 23-42-504(a)(12).

98-024-S
3/27/1998

MASTERS FINANCIAL GROUP, INC.

Order for immediate production of records pursuant to Ark. Code Ann. § 23-42-205 (a)(1).

98-019-S
3/24/1998

COMMUNITY TRUST COMPANY

Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12).

98-014-S
3/23/1998

WASHINGTON WATER POWER COMPANY

Order excluding certain individuals from agent definition pursuant to Ark. Code Ann. § 23-42-102(B)(i)(c).

98-017-S
3/18/1998

LEISURE TIME PRODUCTIONS, INC.

Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12).

98-016-S
3/17/1998

THERMOENERGY CORPORATION

Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12).

98-015-S
3/11/1998

DELEGATION OF DUTIES OF THE SECURITIES COMMISSIONER TO REBECCA BERRY, DEPUTY COMMISSIONER

98-013-S
3/11/1998

SPRINGDALE FAMILY MEDICAL CLINIC, P.A.

Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12).

98-012-S
3/6/1998

MEYERS-POLLOCK-ROBBINS, INC.

MICHAEL PLOSHNICK

Order revoking registration of, and imposing fines on, Meyers-Pollock-Robbins, Inc. and Micheal Ploshnick.

98-044-S
2/20/1998

ARGENT SECURITIES, INC.

Order for immediate production of records pursuant to Ark. Code Ann. § 23-42-205.

98-009-S
2/19/1998

AMERICAN FIBER INDUSTRIES, LLC.

Amended Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12).

98-008-S
2/13/1998

HAMILTON-CHASE VENTURES

WILLIAM C. CARR AND REID MORGAN

Cease and Desist Order for sale of unregistered securities.

98-007-S
2/9/1998

ARKANSAS CASINO CORPORATION

Consent Order requiring recission.

98-006-S
2/5/1998

MICHAEL AKIN

Order of permanent revocation.

98-005-S
1/30/1998

CHURCH EXTENSION PLAN PARTNERS PLUS INVESTMENT CHURCH CERTIFICATES

Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-503(a)(7).

98-004-S
1/27/1998

Z3 CAPITAL CORP., STELLA BELLA CORP.;

USA INTERNATIONAL BRANDS, INC.;

STEVEN ZUBKIS, BRUNO KOZIK;

MARK SCIALDONE

Cease and Desist Order for sale of unregistered securities.

98-003-S
1/21/1998

THE AMERICAN BAPTIST EXTENSION CORPORATION

Summary Order disallowing exemption from registration.

98-002-S
1/16/1998

REAL PRACTICES, INC.

Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12).

98-001-S
1/8/1998

THE STERLING GROUP

ERIC STEIN

Cease and Desist Order for sale of unregistered securities.


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