Administrative Orders

Year 2004


04-90000329-NA012
12/30/2004

MORGAN KEEGAN COMPANY, INC.

Order granting exemption from Rule 308.01(F) of the Rules of the Arkansas Securities Commissioner in relation to school bonds for school districts for which it serves as a fiscal agent.

04-90000328-NA011
12/30/2004

STEPHENS, INC.
 

Order granting exemption from rule 308.01(F) of the Rules of the Arkansas Securities Commissioner in relation to school bonds offered by school districts for which it serves as a fiscal agent.

04-80005277-OR010
12/29/2004

CITY PLUMBING AND ELECTRIC, INC.
 

Order providing a transactional exemption from registration on the proposed offering and sale of stock in City Plumbing and Electric, Inc. to Richard Bonte, Ronald Carroll and Elwen Guthrie pursuant to Ark. Code Ann. §23-42-504(a)(12).

S-04-099-04-CO01
12/29/2004

ALBERT JOSEPH GORNATTI, JR

Consent Order entered pursuant to Ark. Code Ann. § 23-42-101 in full settlement of all claims that could be brought against Albert Joseph Gornatti Jr. by the staff for misappropriated funds.

04-90000327-NA010
12/29/2004

CREWS AND ASSOCIATES, INC.
 

Order granting exemption from rule 308.01(F) of the Rules of the Arkansas Securities Commissioner in relation to school bonds offered by school districts for which it serves as a fiscal agent.

04-80005293-OR011
12/29/2004

PARK HILL INVESTMENTS, INC.
 

Order providing a transactional exemption from registration on the proposed offering and sale of stock of Park Hill Investments, Inc. to Clay Crain pursuant to Ark. Code Ann. §23-42-504(a)(12).

04-80005276-OR009
12/22/2004

OTOLARYNGOLOGY AND FACIAL SURGERY CENTRE OF NORTHEAST ARKANSAS, P.A.

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

S-04-090-04-CD01
12/7/2004

WEBB FINANCIAL SERVICES, WILLIAM WESLEY "BILL" WEBB III AND WILLIAM WESLEY HODGES

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

04-80005240-OR008
12/6/2004

GUSS BLASS, II

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

C-04-096-04-CD01
11/29/2004

MOBILITY FINANCIAL, LLC

D/B/A PARTNERSFIRST MORTGAGE, NEWBURYPORT, MA

Cease and Desist Order and Revocation of Mortgage Broker License # 11392.

04-80005192-OR007
11/15/2004

V INTERNATIONAL, INC.

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

04-80005182-OR006
10/28/2004

AMARK ENGINEERING & MANUFACTURING, INC.

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

S-04-090-04-OI01
10/28/2004

WEBB FINANCIAL SERVICES, WILLIAM WESLEY WEBB, III AND ALL PERSONS EMPLOYED BY OR OTHERWISE AFFILIATED OR ASSOCIATED WITH IT IN ANY WAY

Order directing investigation and empowering officers.

C-04-089-04-FO01
10/13/2004

 

MARK G. JACKSON, LOAN OFFICER'S LICENSE NO. 15600 AN EMPLOYEE OF KINGRIDGE FINANCIAL MORTGAGE

Final Order entered suspending the loan officer license of Respondent, Mark G. Jackson.

C-04-040-04-OR02
9/9/2004

SOUTHWEST FUNDING, LP, F/K/A TEXAS RESIDENTIAL MORTGAGE, LP, DALLAS, TEXAS

Order vacating suspension of license.

04-80005085-OR005
9/9/2004

GUS BLASS, III

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

C-04-089-04-OR01
8/31/2004

MARK G. JACKSON, LOAN OFFICER'S LICENSE NO. 15600, AS AN EMPLOYEE OF KINGRIDGE FINANCIAL MORTGAGE

Order suspending loan officer license.

C-04-054-04-RV01
8/31/2004

COACHELLA VALLEY MORTGAGE CENTER D/B/A FINANCIAL HERITAGE; AND DIANA GUCCIARDO, D/B/A/ FINANCIAL HERITAGE AND D/B/A/ SAFE MONEY MANAGEMENT

Order to vacate portion of Order No. C-04-054-04-CD01 pertaining to Diana Gucciardo.

04-90000323-NA006
8/12/2004

CREWS AND ASSOCIATES, INC.

Order granting exemption from Rule 308.01(F) of the Rules oft he Arkansas Securities Commissioner allowing the company to bid on the purchase of bonds for school districts for which is acts as a fiscal agent.

04-80004956-OR004
7/6/2004

THOUSAND ONE LLC

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

C-04-025-04-RC01
6/21/2004

U.S. MORTGAGE, LAS VEGAS, NEVADA

Order to vacate Order No. C-04-025-04-OR01.

04-90000321-NA004-A
6/17/2004

ARKANSAS SECURITY CAPITAL CORPORATION

Amended and Substituted Order declaring registration effective pursuant to Ark. Code Ann. § 23-42-403.

S-03-026-04-FO01
6/15/2004

INVESTORS TRADING CORPORATION, D/B/A OXFORD FINANCIAL GROUP, JAMES WILLARD CLARK, AND DANIEL FORREST BARRETT

Final Order revoking licenses of Oxford Financial Group and Daniel Forrest Barrett.

S-03-026-04-CO01
6/15/2004

INVESTORS TRADING CORPORATION, D/B/A OXFORD FINANCIAL GROUP, JAMES WILLARD CLARK AND DANIEL FORREST BARRETT

Consent Order pursuant  to Ark. Code Ann. § 23-42-308(a)(2)(J)(Repl. 2000).

S-03-012-04-FO04
5/28/2004

HOPEHILL EQUITY HOLDINGS, INC.,

BERENS & COMPANY, AND MARC IVAN BERENS

Amended and Substituted Cease and Desist Order.

04-80004778-OR003
5/25/2004

HALO, INC., HALO SPARK PLUGS, INC., JAMES E. JOHNSON, EVA L. JOHNSON, BOLLINGER FAMILY TRUST

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

C-078-04-OR01
5/11/2004

PINNACLE MORTGAGE INVESTMENTS; LICENSE NO. 11131

Order interpreting the minimum experience qualifications pursuant to Ark. Code Ann. §§ 23-39-508(B) and 23-39-505(C)(1).

C-04-024-04-RC01
4/30/2004

HOMEQ SERVICING CORPORATION

Order vacating suspension of license.

C-04-076-04-OR01
4/23/2004

ARKANSAS FAIR MORTGAGE LENDING ACT, ARK. CODE ANN. § 23-39-505(c)(1)

Order regarding the minimum experience qualifications of certain mortgage loan company branch managers.

C-04-026-04-OR02
4/14/2004

WASHTENAW MORTGAGE COMPANY, ANN ARBOR, MICHIGAN

Order vacating suspension of license.

C-04-012-04-RC01
4/13/2004

LOW COST LENDING, INC., CANOGA PARK, CA

Order vacating suspension of license.

C-04-042-04-OR02
4/13/2004

TOWER MORTGAGE AND FINANCIAL SERVICES CORPORATION SILVER SPRING, MD

Order vacating suspension of license.

C-04-043-04-OR02
4/13/2004

ESI MORTGAGE, LP AUSTIN, TX

Order vacating suspension of license.

C-04-049-04-OR02
4/13/2004

QUOTEMEARATE.COM, INC. HOUSTON, TEXAS

Order vacating suspension of license.

15039-CS
3/31/2004

PERSONS MAKING ONLY NON-RESIDENTIAL MORTGAGE LOANS OR COMMERCIAL LOANS

Order exempting persons who make only non-residential mortgage loans pursuant to Ark. Code Ann. § 23-39-502(6)(B)(xviii).

C-04-020-04-OR02
3/30/2004

FEDERATED HOME MORTGAGE, INC. ALPHARETTA, GA

Order vacating suspension of license.

C-04-054-04-CD01
3/16/2004

COACHELLA VALLEY MORTGAGE CENTER, D/B/A FINANCIAL HERITAGE; AND DIANA GUCCIARDO, D/B/A FINANCIAL HERITAGE AND D/B/A SAFE MONEY MANAGEMENT

Cease and Desist Order.

C-04-019-04-OR01
3/5/2004

GOLDEN FIRST MORTGAGE CORP.

 LICENSE NO. 10338

Order suspending license.

C-04-024-04-OR01
3/5/2004

HOMEQ SERVICING CORPORATION

LICENSE NO. 10652

Order suspending license.

C-04-025-04-OR01
3/5/2004

U.S. MORTGAGE

LICENSE NO. 10671

Order suspending license.

C-04-009-04-OR01
3/5/2004

1ST PALM FINANCIAL SERVICES, LLC

Order suspending license.

C-04-012-04-OR01
3/5/2004

LOW COST LENDING, INC.

Order suspending license.

C-04-016-04-OR01
3/5/2004

ADVANTAGE HOME LENDING, LLC

Order suspending license.

C-04-018-04-OR01
3/5/2004

PREMIUM MORTGAGE, INC.

Order suspending license.

C-04-022-04-OR01
3/5/2004

UNITED CAPITAL MORTGAGE CORP.

Order suspending license.

C-04-036-04-OR01
3/5/2004

PROGRESSIVE MORTGAGE LENDING, INC.

Order suspending license.

C-04-037-04-OR01
3/5/2004

WALTERS MORTGAGE, INC.

Order suspending license.

C-04-043-04-OR01
3/5/2004

ESI MORTGAGE, LP

Order suspending license.

C-04-044-04-OR01
3/5/2004

HOMEPRIDE MORTGAGE, LP

Order suspending license.

C-04-050-04-OR01
3/5/2004

FINANCIAL CONCEPTS, LLC

Order suspending license.

C-04-026-04-OR01
3/5/2004

WASHTENAW MORTGAGE COMPANY

LICENSE NO. 10707

Order suspending license.

C-04-028-04-OR01
3/5/2004

SOUTHERN STATES MORTGAGE CO., INC.

Order suspending license.

C-04-014-04-OR01
3/5/2004

MANUMAC RETAIL SERVICES, INC.

Order suspending license.

C-04-042-04-OR01
3/5/2004

 

TOWER MORTGAGE AND FINANCIAL SERVICES CORPORATION

Order suspending license.

C-04-049-04-OR01
3/5/2004

QUOTEMEARATE.COM, INC.

Order suspending license.

C-04-010-04-OR01
3/5/2004

ASHLEY MORTGAGE COMPANY

Order suspending license.

C-04-013-04-OR01
3/5/2004

BOMAC MORTGAGE HOLDINGS, L.P.

Order suspending license.

C-04-020-04-OR01
3/5/2004

FEDERATED HOME MORTGAGE, INC.

Order suspending license.

C-04-038-04-OR01
3/5/2004

CCSF, LLC

Order suspending license.

C-04-040-04-OR01
3/5/2004

TEXAS RESIDENTIAL MORTGAGE, LP

Order suspending license.

C-04-041-04-OR01
3/5/2004

CREST MORTGAGE COMPANY

Order suspending license.

C-04-045-04-OR01
3/5/2004

COVENANT FINANCIAL, LLC

Order suspending license.

S-04-008-04-CD01
3/4/2004

SEED INTERNATIONAL, LTD., OCEAN INTERNATIONAL MARKETING, LTD., ARCHITECTS OF WINE, LTD., CRAIG GARRETT, CARL SNAPE, RYAN FERREIRA, JASON SCHMIDT, CHRIS ELS AND ALL PERSONS EMPLOYED BY OR OTHERWISE AFFILIATED WITH THOSE ENTITIES OR THOSE PERSONS

Cease and Desist Order.

04-80004757-OR002
3/4/2004

HANOVER COMPRESSOR COMPANY AND GKH INVESTMENTS, L.P.

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

04-90000321-NA004
1/28/2004

ARKANSAS SECURITY CAPITAL CORPORATION

Order declaring registration effective pursuant to Ark. Code Ann. § 23-42-403.

04-90000320-NA002
1/27/2004

MORGAN KEEGAN COMPANY, INC.

Order granting exemption from rule 308.01(F) of the Rules of the Arkansas Securities Commissioner in relation to school bonds offered by school districts for which it serves as a fiscal agent.

04-90000319-NA003
1/27/2004

STEPHENS, INC.

Order granting exemption from rule 308.01(F) of the Rules of the Arkansas Securities Commissioner in relation to school bonds offered by school districts for which it serves as a fiscal agent.

04-90000318-NA001
1/15/2004

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


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