Administrative Orders

Year 2003


03-80004671-OR100
12/16/2003

GUS BLASS, II
 

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

03-80004618-OR088
11/12/2003

OUACHITA REGIONAL DIAGNOSTIC & SURGERY CENTER, INC.
 

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

C-03-030-03-CD01
11/7/2003

PHILLIP DARREN SHOCKEY
A/K/A PHILLIP DAREN SHOCKEY

 

Cease and Desist Order issused for Phillip Shockey to  immediately cease and desist from transacting any business of a mortgage loan company or loan broker in Arkansas.

S-03-016-03-CO09
11/5/2003

MORGAN STANLEY & CO., INCORPORATED

Consent Order as the result of multi-state task force investigating the equity research practices.

03-80004597-OR083
11/5/2003

CEI ENGINEERING ASSOCIATES, INC.

Order providing a waiver of certain provisions of the exemption pursuant to Ark. Code § 23-402-504(a)(9).

S-03-016-03-CO06
11/5/2003

U.S. BANCORP PIPER JAFFRAY INC.

Consent  Order as the result of a multi-state task force investigating the equity research practices.

S-03-016-03-CO08
11/5/2003

CITIGROUP GLOBAL MARKETS INC. (FORMERLY KNOWN AS SALOMON SMITH BARNEY INC.)

Consent Order as the result of a multi-state task force investigating the equity research practices.

C-03-029-03-OR01
10/31/2003

DREAM HOUSE MORTGAGE CORPORATION, PROVIDENCE, RI
 

Order to vacate Order No. C-03-029-03-OR01.

S-03-023-03-CD01
10/16/2003

CHARLES E. ELLIOTT, INDIVIDUALLY AND D/B/A BREAD OF LIFE INVESTMENTS, LTD.; CHARLES E. ELLIOTT AND NICHOLAS J. KRUG, INDIVIDUALLY, AND D/B/A GOLD STAR PROPERTIES AND GOLDEN EAGLE 1 GROUP; PLATINUM ADVANTAGE LLC INTERNATIONAL CREDIT UNION; VANTAGE GLOBAL FUND LP; DOVE HOLDINGS, LLC; REBATES INTERNATIONAL, INC.; AND TERRY H. MAHON
 

Cease and Desist Order pertaining to the offer or sale of unregistered securities.

S-03-033-03-CD01
10/1/2003

BASIN OIL & GAS CORPORATATION,
THOMAS R. WATKINS, President,
STEVE JUSTICE, JIM CROWLEY and ALL PERSONS EMPLOYED BY OR OTHERWISE AFFILIATED WITH THOSE ENTITIES OR THOSE PERSONS

 

Cease and Desist Order pertaining to the offer or sale of unregistered securities.

S-03-016-03-CO05
10/1/2003

J. P. MORGAN SECURITIES, INC.

Consent Order as the result of a multi-state task force investgating the equity research practices.

S-03-016-03-CO04
10/1/2003

LEHMAN BROTHERS INC.

Consent Order as the result of a multi-state task force investigating the equity research practices.

S-03-016-03-CO02
9/23/2003

CREDIT SUISSE FIRST BOSTON LLC, F/K/A CREDIT SUISSE FIRST BOSTON CORPORATION

Consent Order as the result of a multi-state task force investigating the equity research practices.

S-03-016-03-CO03
9/22/2003

GOLDMAN, SACHS & CO.

Consent Order as the result of a multi-state task force investigating the equity research practices.

03-80004549-OR075
9/12/2003

GUS J. BLASS, III
 

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

C-03-029-03-CD01
9/3/2003

DREAM HOUSE MORTGAGE CORPORATION, PROVIDENCE, RI
 

Cease and Desist Order and revocation of mortgage loan company exemption from registration pursuant to Ark. Code Ann. § 23-39-306-(a)(4).

S-03-016-03-CO01
8/29/2003

BEAR, STEARNS & CO., INC.

Consent Order as the result of a multi-state task force investigating the equity research practices.

S-03-016-03-CO01
8/22/2003

UBS WARBURG LLC
UBS PAINEWEBBER, INC.

 

Consent Order as the result of a multi-state task force investigating the equity research practices.

S-03-028-03-CO01
8/15/2003

INVESTMENT ADVISORY GROUP, LLC
AND BRETT J. HOLIMAN

 

Consent Order pursuant to Ark. Code Ann. § 23-42-308(a)(2)(E).

03-90000314-NA013
7/22/2003

BIO-BASED CHEMICALS, LLC
 

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

S-03-025-03-CD01
7/11/2003

YELLOW PAGES WORLDWIDE, INCORPORATED; DERRICK FORD; ETCHIKA SHELL; LARRY HOUSE; RON HANSON; SAVVY BOY ENTERTAINMENT, INC; AND WILLIAM L. REDDITT

Cease and Desist Order pertaining to the offer or sale of unregistered securities.

03-90000312-NA011
6/11/2003

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

C-03-021-03-CD01
6/9/2003

ARCS COMMERCIAL MORTGAGE CO., L.P., CALABASAS HILLS, CA
 

Cease and Desist Order and revocation of mortgage loan company exemption from registration pursuant to Ark. Code Ann. § 23-39-306(a)(4).

C-03-008-03-CO01
6/2/2003

ASSET PLANNING GROUP; CARY H. SPECTOR; THOMAS H. BRAUN AND "TONY" KA'REN OUGLOUNTS
 

Consent Order for transacting business as a broker-dealer or agent without being registered.

C-03-020-03-CD01
5/29/2003

VERSATILE MORTGAGE, INC.; MERGE MORTGAGE, INC.; MERGING ENTERPRISES, INC.; RENALDO D. ROBINSON; SHIRLENA L. WRIGHT, BRIAN RODGERS; RUBY ALEXANDER; JAMES BURKS, DWAN ROBINSON. AND ODELL KENNEDY

Cease and Desist Order and Suspension of Mortgage Loan Company Registration.

03-80004433-OR056
5/29/2003

ARKANSAS PREFERRED PROVIDER ORGANIZATION, INC.

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

03-80004402-OR046
5/29/2003

ASPHALT CONCRETE PRODUCTS, INC.
 

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

03-80004401-OR046
5/29/2003

STATEWIDE ASPHALT MAINTENANCE AND SEALING COMPANY, INC.
 

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

03-80004405-OR047
5/29/2003

DELTA PLASTICS, INC.
 

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

C-03-015-03-FO01
5/22/2003

UNITED MORTGAGE CONSULTANTS, INC., LITTLE ROCK, AR
 

Final Cease and Desist Order and revocation of mortgage loan company registration.

03-80004377-OR41
5/16/2003

THE WOOD FLOOR GALLERY, INC.
 

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

03-90000309-NA009
5/15/2003

MORGAN KEEGAN & COMPANY, INC.

Order granting exemption from Rule 308.01(F) of the Rules of the Arkansas Securities Commissioner as it relates to school bonds offered by the school districts for which it is acting as a fiscal agent.

S-03-017-03-CD01
5/12/2003

MDM ENERGY, INC., MICHAEL L. RAFAEL, PETE IRBY, GARY LEEPER and all persons employed by or otherwise affiliated with those entities or those persons
 

Cease and Desist Order pertaining to the offer or sale of unregistered securities.

C-03-018-03-OR01
5/7/2003

CHOICE ONE MORTGAGE,
PHOENIX, AZ

 

Order denying registration application.

03-80004350-OR35
4/25/2003

STEPHENS, INC.
 

Order granting exemption from Rule 308.01(F) of the Rules of the Arkansas Securities Commissioner as it relates to school bonds offered by the school districts for which it is acting as a fiscal agent.

C-03-015-03-CD01
4/17/2003

UNITED MORTGAGE CONSULTANTS, INC., LITTLE ROCK, AR
 

Cease and Desist Order and revocation of mortgage loan company registration application.

03-80004328-OR28
4/4/2003

NEA TIRE CENTER, INC.
 

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

S-03-012-03-CD01
4/2/2003

HOPEHILL EQUITY HOLDINGS, INC., ERNESTO W. LETIZIANO, HOPE E. HILLABRAND, BERENS & COMPANY, AND MARC IVAN BERENS

Cease and Desist Order pertaining to the offer or sale of unregistered securities.

80004311
3/31/2003

GULLANE CAPITAL LLC.
 

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

S-03-008-03-CD01
3/19/2003

ASSET PLANNING GROUP;
CARY H. SPECTOR, PRESIDENT;
WORLD CHOICE SECURITIES, INC.;
THOMAS H. BRAUN;
AND “TONY” KA’REN OUGLOUNTS

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

C-03-007-03-CD01
3/17/2003

OAK FOREST FINANCIAL CORPORATION, CONWAY, AR

Cease and Desist Order and revocation of mortgage loan company registration application.

C-02-029-03-CD02
3/4/2003

JODY DAVIS
 

Cease and Desist Order issused for Jody Davis to immediately cease and desist from transacting any business of a mortgage loan company or loan broker in Arkansas.

03-80004224-OR006
1/22/2003

JEFFERSON SURGERY CENTER PLLC

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

C-03-001-03-CD01
1/10/2003

DIVERSIFIED CAPITAL CORPORATION OF TENNESSEE D/B/A AMERICA'S LENDING CENTER
 

Cease and Desist Order and revocation of mortgage loan company exemption from registration pursuant to Ark. Code Ann. § 23-39-306(a)(4).


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