Administrative Orders

Year 1999


99-074-S
12/27/1999

MORRIS TAX SERVICE, INC.

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

99-072-S
12/13/1999

CITY CYCLES, INC.

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

99-073-S
12/13/1999

S & K QUALITY PLUMBING, INC.

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

99-071-S
12/6/1999

GUS BLASS, II

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

99-070-S
12/6/1999

FIRST FINANCIAL PLANNERS, INC.;

FFP SECURITIES, INC.;

FFP ADVISORY SERVICES, INC.

Consent Order.

99-069-S
12/3/1999

MILLENNIUM INTERACTIVE TECHNOLOGIES CORP., DAVID HELMSTETTER, LOW KOWAL AND ALL PERSONS EMPLOYED BY OR OTHERWISE AFFILIATED WITH THAT ENTITY OR THOSE PERSONS

Cease and Desist Order pursuant to Ark. Code Ann. § 23-42-101, et seq.

99-068-S
11/22/1999

EDWIN WELLS SHAVING, INC.

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

99-066-S
11/2/1999

WILLIAMS CENTER NORTHWEST, INC.

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

99-065-S
10/28/1999

JEFFERSON SURGERY CENTER PLLC

Order providing a waiver of certain provisions of the exemption pursuant to Ark. Code Ann. § 23-42-504(a)(9).

99-064-S
10/28/1999

CEI ENGINEERING ASSOCIATES, INC.

Order providing a waiver of certain provisions of the exemption pursuant to Ark. Code Ann. § 23-42-504(a)(9).

99-063-S
10/25/1999

WILLIAMS CENTER NORTHWEST, INC.

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

99-062-S
10/6/1999

SAM CLEMENTE SECURITIES, INC., COOKE BAILLE CHRISTOPHER, THOMAS H. SUNDERLAND, DAVID ALLEN MULLENAX, AND ROBERT MABRY MULLENAX

D/B/A MULLENAX FINANCIAL GROUP

Summary Order suspending registration.

99-061
10/6/1999

CUSTARD & RIBS, LLC.

Order providing waiver of certain provisions of the exemption pursuant to Ark. Code Ann. § 23-42-503(b).

99-059-S
10/1/1999

CHEMICAL TRUST AND ITS TRUSTEES, PRINCIPALS, OFFICERS, AGENTS AND AFFILIATES, INCLUDING, BUT NOT LIMITED TO, LEWEY L. CATO, III; AND, UNITED MARKETING TRUST AND ITS TRUSTEES, PRINCIPALS, OFFICERS, AGENTS AND AFFILIATES, INCLUDING, BUT NOT LIMITED TO, CLIFTON WILKINSON; AND UNITED STATES GUARANTEE CORPORATION AND ITS PRINCIPALS, OFFICERS, AGENTS AND AFFILIATES, INCLUDING, BUT NOT LIMITED TO ALVIN A. TANG

Cease and Desist Order.

99-060-S
9/22/1999

EUGENE FORSYTH D/B/A FORSYTH RESEARCH AND DEVELOPMENT CENTER

Cease and Desist Order pursuant to Ark. Code Ann. § 23-42-209.

99-054-S
9/16/1999

ROBERT MITCHELL ROSS,

REGISTERED REPRESENTATIVE

CRD NO. 2372969

Consent Order

99-042-S
9/13/1999

ARGENT SECURITIES, INC.

TIMOTHY WAYNE MCAFEE AND ERIC T. GELFAND

Consent Order.

99-053-S
9/8/1999

NATION'S EXPRESS, INC.

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

99-052-S
9/7/1999

MARK A. LEE

Order excluding individual from investment adviser definition pursuant Ark. Code Ann. § 23-42-102(8)(F).

99-043-S
9/7/1999

ARGENT SECURITIES, INC.

TIMOTHY WAYNE MCAGEE; AND ERIC T. GELFAND

Consent Order. No registration of Gelfand in Arkansas in any capacity in the securities industry will ever be effected in Arkansas.

99-051-S
9/1/1999

GUS BLASS, II

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

99-050-S
8/30/1999

ALLIANCE TRUST; TRUSTEES, PRINCIPALS, OFFICERS, AGENTS AND AFFILIATES, INCLUDING BUT NOT LIMITED TO, CLIFTON WILKINSON; U.S. GUARANTEE CORP.; AND ALVIN A. TANG

Amended Cease and Desist Order.

99-049-S
8/25/1999

HALO SPARK PLUG, INC.; HALO, INC.;

JAMES JOHNSON, PRESIDENT,  AND RUSS RASNIC, CHIEF OPERATING OFFICER
 

Order directing investigation and empowering officer pursuant to Ark. Code Ann. § 23-42-205.

99-048-S
8/25/1999

MEDALLION FINANCIAL SERVICES AND STEVE INMAN

Order directing investigation and empowering officer pursuant to Ark. Code Ann. § 23-42-205.

99-047-S
8/23/1999

MILTON CHANEY; ROBERT (PECK) TRAVIS; GCS DEVELOPMENT CORPORATION; AND DIRECTORS, OFFICERS AND EMPLOYEES OF GCS DEVELOPMENT CORPORATION

Order directing investigation and empowering officer pursuant to Ark. Code Ann. § 23-42-205.

99-045-S
8/17/1999

ALLIANCE TRUST; TRUSTEES, PRINCIPALS, OFFICERS, AGENTS AND AFFILIATES, INCLUDING BUT NOT LIMITED TO, CLIFTON WILKINSON

Cease and Desist Order

99-046-S
8/11/1999

THE PEOPLE'S CHURCH OF ARNOLD;

CAMP DAVID; AND KENNETH BROWN

Cease and Desist Order

99-044-S
8/10/1999

CENTRAL ARKANSAS PRIMARY CARE PHYSICIANS, INC.

Order providing a waiver of certain provisions of the exemption pursuant to Ark. Code Ann. § 23-42-504(a)(9).

99-041-S
8/4/1999

EFT NETWORK SERVICES, LLC.

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

99-040-S
8/2/1999

SUN RIVER CORPORATION

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

99-039-S
8/2/1999

SUN INDUSTRIES, INC.

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

99-038-S
7/30/1999

ST. MARK'S EPISCOPAL CHURCH

Order excluding certain individuals from agent definition pursuant to Ark. Code Ann § 23-42-102(2)(B)(i)(a).

99-037-M
7/26/1999

U.S. MORTGAGE, INC.

Order entered pursuant to Ark. Code Ann. §23-39-101, et seq. (Repl) (the Act).

99-036-S
7/22/1999

DELEGATION OF DUTIES OF THE SECURITIES COMMISSIONER TO ANN MCDOUGAL, DEPUTY COMMISSIONER.

99-035-S
7/20/1999

 ARKANSAS CASINO CORPORATION, AN IDAHO CORPORATION; ARKANSAS CASINO CORPORATION, AN ARKANSAS CORPORATION; ARKANSAS CASINO PARTNERS, A/K/A ARKANSAS CASINO COMPANY, AN ARKANSAS GENERAL PARTNERSHIP; ROBERT D. MAY, PRESIDENT; THOMAS L. GOODWIN, FORMER PRESIDENT; JAMES C. HARRIS, FORMER CHAIRMAN AND SECRETARY; ROBERT C. MEANS, VICE-PRESIDENT; AND PULASKI COUNTY CASINO PARTNERS

Summary Order to Cease and Desist pursuant to Ark. Code Ann. §§ 23-42-209 and 23-42-505, Rule 504.02(B) of the Rules of the Arkansas Securities Commissioner and the Arkansas Administrative Procedure Act, Arkansas Code Ann. § 25-15-201, et. seq.

99-033-S
7/1/1999

CHARTENDURE, LIMITED

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

99-030-S
6/28/1999

SINDA, INC.

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

99-029-S
6/25/1999

COMMUNICORP, TEAM CR LIMITED

BILL HAYWOOD, DARYN S. BOZEK

Cease and Desist Order.

99-031-S
6/23/1999

SIERRA PACIFIC RESOURCES

Order excluding certain individuals from agent definition pursuant to Ark. Code Ann. § 23-42-102(2)(B)(i).

99-028-S
6/23/1999

CSW NET, INC.

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

99-027-S
6/23/1999

ATM USA CORPORATION; ATM USA CORPORATION ACQUISITION PROGRAM - ALPHA SERIES LIMITED PARTNERSHIP; PRINCIPALS, OFFICERS, DIRECTORS, AGENTS, ACCOUNT EXECUTIVES AND AFFILIATES, INCLUDING, BUT NOT LIMITED TO, WILLIAM H. MIRACLE

Cease and Desist Order.

99-026-S
6/11/1999

HEARTLAND PHARMACY ALLIANCE, LLC

Order providing a waiver of certain provisions of the exemption pursuant to Ark. Code Ann. § 23-42-504(a)(9).

99-023-S
6/2/1999

GREEN BAY PACKAGING, INC.

Order providing a waiver of certain provisions of the exemption pursuant to Ark. Code Ann. § 23-42-504(a)(9).

99-025-S
6/2/1999

GLACIER GOLD MINES, INC.; SURFACING TECHNOLOGY CORP.; SIDNEY B. WOOD

Cease and Desist Order.

99-024-S
6/2/1999

OUTDOOR AMERICA, INC.

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

99-022-S
5/28/1999

SEA BANCSHARES, INC.

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

99-021-S
5/27/1999

OZARK FOOD COOPERATIVE EXCHANGE

Order providing a waiver of certain provisions of the exemption pursuant to Ark. Code Ann. § 23-42-504(a)(9).

99-020-S
5/26/1999

BILL HAYWOOD; COMMUNICORP; DARYN S. BOZEK; AND TEAM CR LTD.

Order directing investigation and empowering officer pursuant to Ark. Code Ann. § 23-42-205.

99-019-S
5/12/1999

MEYER'S BAKERIES, INC.

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

99-011-S
4/30/1999

SUMMIT BROKERAGE SECURITIES, INC.

Consent Order.

99-016-S
4/28/1999

SOUTHWEST FACTORS, INC.; S.W. FINANCIAL MANAGEMENT, L.L.C.; FUNDING SOURCES SUPPORT, INC.; MIKE MCNEW, PRESIDENT, RON BURKE, AND JOE O'BANION

Order directing investigation and empowering officer pursuant to Ark. Code Ann. § 23-42-205.

99-017-S
4/28/1999

ARKANSAS OFFICE FURNITURE, INC.

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

99-015-M
4/26/1999

MELODY A. MOORE; TIMOTHY MOORE; DEMETRIA MOORE; AND CONGRESS MORTGAGE, L.L.C.; TEXARKANA, TEXAS

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

99-014-S
4/26/1999

MORETTI'S ITALIAN BISTRO, INC.

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

99-013-S
4/21/1999

BROKER-DEALERS; INVESTMENT ADVISERS' BROKER-DEALER AGENTS; AND INVESTMENT ADVISER REPRESENTATIVES USING THE INTERNET FOR GENERAL DISSEMINATION OF INFORMATION ON PRODUCTS AND SERVICES

Interpretative Order that sets forth the Department's position regarding individual web sites of agents and when this is not "doing business."

99-012-S
4/21/1999

BLEACHER BUM SPORTS, L.L.C.

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

99-010-S
4/9/1999

CAPITOL RESORTS, INC.; CAPITOL RESORTS OF FLORIDA, INC.; CAPITOL COMMUNITIES CORPORATION

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

98-008-S
4/2/1999

ROUND LAKE CO-OP GIN

Order extending exemption period pursuant to Ark. Code Ann. § 23-42-503(a)(4).

99-007-S
3/26/1999

SAF-T-LITS SAFETY SYSTEMS, INC.;

TOMMY BARRON; AND DIRECTORS, OFFICERS, EMPLOYEES AND AGENTS

Cease and Desist Order.

99-018-S
3/24/1999

 THE PORTLAND BANK

Order extending exemption period pursuant to Ark. Code Ann. § 23-42-503(a)(3).

99-006-S
3/19/1999

SAF-T-LITS SAFETY SYSTEMS, INC.; TOMMY BARRON AND DIRECTORS, OFFICERS, EMPLOYEES AND AGENTS

Order directing investigation and empowering pursuant to Ark. Code Ann. § 23-42-205.

99-005-S
3/11/1999

HTE HOLDINGS, INC.

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

99-004-S
2/25/1999

INTERNATIONAL BENEVOLENCE FUND TRUST

FRANK R. JOHNSON; AND DIRECTORS, OFFICERS, EMPLOYEES AND AGENTS OF INTERNATIONAL BENEVOLENCE FUND TRUST

Cease and Desist Order.

99-003-S
2/23/1999

PSYCHCARE LLC

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

99-002-S
1/26/1999

BEACON TIRE SERVICE NO. 2, INC.

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

99-001-S
1/20/1999

CHURCH DEVELOPMENT FUND, INC.

Order extending exemption period pursuant to Ark. Code Ann. § 23-42-503(d)(4).


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