Administrative Orders

Year 2011


C-11-0278-11-OR01
12/8/2011

PROSPECT MORTGAGE, LLC

Consent order entered in connection with violations of the Arkansas Fair Mortgage Lending Act.

S-11-0230-11-OR-02
12/7/2011

HERITAGE PACIFIC FINANCIAL, LLC

A cease and desist order concerning the sale of unregistered securities in violation of the Arkansas Securities Act. 

S-10-0113-11-OR02
11/14/2011

LEWIS & CLARK OUTDOORS, INC.

Consent order entered in connection with sales of unregistered securities in violation of the Arkansas Securities Act.

S-11-0325-11-OR01
11/7/2011

TIGER X MEDICAL, INC.

f/k/a CARDO MEDICAL, INC.

Consent order entered in connection with a filing violation of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner as a notice filer for covered securities failed to file its Form D with the Department within the required time frame after the first sale in Arkansas.

C-11-0353-11-OR01
11/7/2011

BROWN BARK III, L.P.

Consent order entered concerning unlicensed mortgage servicing activity in violation of the Arkansas Fair Mortgage Lending Act.

S-11-0352-11-OR01
11/7/2011

REGISTRATION OF BRIAN GROH

WITH J W COLE FINANCIAL, INC.

Order approving limited registration for Brian Groh as a broker-dealer agent with J.W. Cole Financial, Inc.

S-11-0358-11-OR01
11/7/2011

SHARON BOLLINGER, APPLICANT

Order approving limited agent registration for Sharon Bollinger with Lutheran Church Extension Fund.

S-11-0293-11-OR01
10/24/2011

NOWA TECHNOLOGY, INC.

Consent order entered in connection with a filing violation of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner as a notice filer for covered securities failed to file its Form D with the Department within the required time frame after the first sales in Arkansas.

S-08-065-11-OR02
10/19/2011

MORGAN ASSET MANAGEMENT, INC. and

MORGAN KEEGAN & COMPANY, INC.

Consent order concerning violations of the Arkansas Securities Act involving unethical and dishonest practices in the securities business and failing to supervise its employees.

C-11-0285-11-OR02
10/4/2011

VANDERBILT MORTGAGE AND FINANCE, INC.

Consent order entered concerning unlicensed mortgage loan activity in violation of the Arkansas Fair Mortgage Lending Act.

S-10-0155-11-OR01
9/7/2011

ATOSSA GENETICS, INC.

Consent order entered in connection with a filing violation of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner as a notice filer for covered securities failed to file its Form D with the Department within the required time frame after the first sale in Arkansas.

C-11-0308-11-OR02
8/30/2011

RINDA L. UNDERWOOD, BUDGET REPAIRED, INC. d/b/a I'M NOT LEAVING, and DAVID GEORGE

Order directing Rinda L. Underwood, Budget Repaired, Inc. d/b/a I'm Not Leaving and David George to immediately cease and desist from all mortgage loan activity in Arkansas until properly licensed.

S-11-0300-11-OR01
8/30/2011

HOOZON, LLC

Consent order entered in connection with a filing violation of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner as a notice filer for covered securities failed to file its Form D with the Department within the required time frame after the first sale in Arkansas.

C-11-0306-11-OR01
8/17/2011

STANDARD MORTGAGE CORPORATION

Consent order entered concerning unlicensed mortgage loan activity in violation of the Arkansas Fair Mortgage Lending Act.

S-11-0292-11-OR01
8/15/2011

TRIATHLON AMERICA, INC.

Consent order entered in connection with a filing violation of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner as a notice filer for covered securities failed to file its Form D with the Department within the required time frame after the first sale in Arkansas.

C-11-0212-11-OR02
8/15/2011

ATTORNEYS LAW GROUP, BETTER HOME RELIEF, AND SCOTT B. HAYWARD

Order directing Attorneys Law Group, Better Home Relief, and Scott B. Hayward to immediately cease and desist from all mortgage loan activity in Arkansas until properly licensed.

C-11-0314-11-OR01
8/11/2011

WILSON MORTGAGE LENDING, LLC

Consent order entered in connection with violations of the Arkansas Fair Mortgage Lending Act concerning the failure to maintain a trust/escrow account and use a unique identifier.

S-11-0281-11-OR01
8/8/2011

REAL ASSET EQUITY INCOME FUND I, L.P.

Consent order entered in connection with a filing violation of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner as a notice filer for covered securities failed to file its Form D with the Department within the required time frame after the first sale in Arkansas.

S-11-0311-11-OR01
8/5/2011

NUMBLEBEE, LLC

Consent order entered in connection with a filing violation of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner as a notice filer for covered securities failed to file its Form D with the Department within the required time frame after the first sale in Arkansas.

C-11-0268-11-OR01
8/5/2011

AFFORDABLE MORTGAGE, LLC

Consent order entered in connection with Affordable Mortgage LLC's late filing of an annual report with the Department.

S-10-061-11-OR01
7/26/2011

NATHAN CALHOUN

Consent order entered in connection with sales of unregistered MexBank pooled investments in violation of the Arkansas Securities Act.

C-11-0220-11-OR03
7/26/2011

GPAL, INC. and

BENJAMIN P. CANNON

Order affirming the cease and desist order entered on February 4, 2011, pertaining to violations of the Arkansas Uniform Money Services Act.

C-11-0291-11-OR01
7/25/2011

JAMES B. NUTTER & COMPANY

Consent order entered in connection with violations of the Arkansas Fair Mortgage Lending Act.

S-11-0226-11-OR01
7/21/2011

NATURALSHRIMP HOLDINGS, INC.

Consent order entered in connection with a filing violation of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner as a notice filer for covered securities failed to file its Form D with the Department within the required time frame after the first sale in Arkansas.

C-11-0241-11-OR01
7/11/2011

21ST MORTGAGE CORPORATION

Consent order entered in connection with unlicensed loan officer activity in violation of the Arkansas Fair Mortgage Lending Act.

S-09-028-11-OR03
7/6/2011

KRISELL OIL COMPANY, INC. and

LEONARD KRISELL

Consent order entered in connection with violations of the Arkansas Securities Act.

C-11-0290-11-OR01
6/24/2011

BROOKSIDE MORTGAGE, LLC

Consent order entered in connection with unlicensed mortgage loan activity in violation of the Arkansas Fair Mortgage Lending Act.

C-11-0263-11-OR01
6/13/2011

GID ASSOCIATES, INC. D/B/A GIDASSOCIATES.COM, GETIRAQIDINAR.COM, AND USACURRENCYEXCHANGE.COM

Consent Order entered in connection with unlicensed currency exchange activity in violation of the Arkansas Money Services Act.

S-11-0258-11-OR01
6/13/2011

HARRELL FINANCIAL SOLUTIONS

Consent order entered in connection with Harrell Financial Solutions late filing of financial statements with the Department.

S-11-0286-11-OR01
6/13/2011

 TRADING BLOCK HOLDINGS, INC.

Consent order entered in connection with a filing violation of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner as a notice filer for covered securities failed to file its Form D with the Department within the required time frame after the first sale in Arkansas.

C-11-0269-11-OR01
5/23/2011

FIRST AMERICAN MORTGAGE TRUST

Consent order entered in connection with First American Mortgage Trust's late filing of an annual report with the Department.

C-11-0271-11-OR01
5/23/2011

LINCOLN MORTGAGE INC.

Consent order entered in connection with Lincoln Mortgage, Inc.'s late filing of an annual report with the Department.

C-11-0277-11-OR02
5/19/2011

US DOC PREP, LLC

A cease and desist order pertaining to violations of the Arkansas Fair Mortgage Lending Act concerning unliscened mortgage loan modification activity and the collection of advanced fees.

S-11-0256-11-CO01
5/16/2011

LARRY STIDMAN and

COMPLETE BENEFIT SOLUTIONS, LLC

Consent order entered with finding of unregistered investment adviser activity by a licensed insurance agent in violation of the Arkansas Securities Act.

C-10-0088-11-OR01
5/16/2011

NATIONS FUNDING SOURCE, INC. and

SOOKRANI SATTIE NARAIN

Consent order entered suspending licenses and setting a civil penalty concnerning violations of the Fair Mortgage Lending Act and the Rules of the Fair Mortgage Lending Act.

S-10-0145-11-OR01
5/9/2011

HOUSE GAME PRODUCTION, LLC

Consent order entered in connection with a filing violation of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner as a notice filer for covered securities failed to file its Form D with the Department within the required time frame after the first sale in Arkansas.

S-09-030-11-OR02
5/5/2011

THEVISIONGRP, INC., VGRT,INC.,

JOE E. VINCENT, II, and SAMANTHA SHERMAN

Cease and desist order concerning the sale of unregistered securities and securities fraud in violation of the Arkansas Securities Act.

C-11-0272-11-OR01
4/29/2011

MERCHANTS MORTGAGE & TRUST CORPORATION, LLC

Consent order entered in connection with Merchants Mortgage & Trust Corporation, LLC's late filing of an annual report with the Department.

C-11-0274-11-OR01
4/29/2011

PREMIER HOME MORTGAGE, INC.

Consent order entered in connection with Premier Home Mortgage, Inc.'s late filing of an annual report with the Department

C-11-0273-11-OR01
4/29/2011

MID NATION MORTGAGE CORPORATION

Consent order entered in connection with Mid Nation Mortgage Corporation's late filing of an annual report with the Department.

C-11-0216-11-OR01
4/20/2011

LIFESONG DEVELOPMENT GROUP, LLC d/b/a

DEALORBUYDINAR.COM

Consent order in connection with unliscensed currency exchange activity in violation of the Arkansas Money Services Act.

C-11-0242-11-OR01
4/19/2011

DINAR XCHANGE d/b/a BET ON IRAQ.COM

Consent order entered in connection with unlicensed currency exchange activity in violation of the Arkansas Money Services Act.

S-11-0249-11-OR01
4/18/2011

DEBARTOLO OPPORTUNITY FUND I, LP

Consent order entered in connection with a filing violation of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner as a notice filer for covered securities failed to file its Form D with the Department within the required time frame after the first sale in Arkansas.

C-11-0205-11-OR02
4/14/2011

DINAR TRADE, INC.

Consent order entered in connection with unlicensed currency exchange activity in violation of the Arkansas Money Services Act.

C-11-0243-11-OR01
4/12/2011

DTIF, INC. d/b/a EDINAR FINANCIAL

Cease and desist order directing DTIF, Inc. d/b/a eDinar Financial to immediately cease and desist from all currency exchange activity in the State of Arkansas until properly licensed.

S-09-041-11-OR02
4/11/2011

CONSTANTINE A. DIAVATOPOULOS

A consent order finding that Constantine A. Diavatopoulos offered and sold securities that were not registered or exempt from registration in violation of Ark. Code Ann. § 23-42-501 and that he unlawfully used the proceeds of the sales of securities in violation of Ark. Code Ann. § 23-42-308(a)(2)(G).

S-10-0107-11-OR01
4/11/2011

Claymore Securities Defined Portfolios, Series 634 (Closed-End National Municipal Portfolio, Series 16)

Consent order entered against a unit investment trust violating Ark. Code Ann. § 23-42-509 by failing to file an admendment increasing the amount of securities proposed to be offered in Arkansas unitl after the sales were made.

S-10-0108-11-OR01
4/11/2011

Advisors Disciplined Trust 444 (Advisors Corporate Trust - Navellier/Dial High Income Opportunities Portfolio, Series 9)

Consent order entered against a unit investment trust violating Ark. Code Ann. § 23-42-509 by failing to file an admendment increasing the amount of securities proposed to be offered in Arkansas unitl after the sales were made.

S-10-0109-11-OR01
4/11/2011

Advisors Disciplined Trust 450 (Advisors Corporate Trust - Navellier/Dial High Income Opportunities Portfolio, Series 10)

Consent order entered against a unit investment trust violating Ark. Code Ann. § 23-42-509 by failing to file an admendment increasing the amount of securities proposed to be offered in Arkansas until after the sales were made.

S-10-0111-11-OR01
4/11/2011

Claymore Securities Defined Portfolios, Series 637 (Global Water Equities Portfolio, Series 17)

Consent order entered against a unit investment trust violating Ark. Code Ann. § 23-42-509 by failing to file an admendment increasing the amount of securities proposed to be offered in Arkansas until after the sales were made.

S-10-0110-11-OR01
4/11/2011

Advisors Disciplined Trust 440 (Tactical Income Closed-End Portfolio, Series 10)

Consent order entered against a unit investment trust violating Ark. Code Ann. §23-42-509 by failing to file an admendment increasing the amount of securities proposed to be offered in Arkansas until after the sales were made.

S-11-0232-11-OR01
4/6/2011

AOS 1-B, LP

Consent Order entered in connection with a filing violation of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner as a notice filer for covered securities failed to file its Form D with the Department within the required time frame after the first sale in Arkansas.

S-11-0233-11-OR01
4/5/2011

ON2LOCATE, INC.

Consent order entered in connection with a filing violation of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner as a notice filer for covered securities failed to file its Form D with the Department within the required time frame after the first sale in Arkansas.

C-11-0215-11-OR01
4/5/2011

ODIOWORKS, LLC

d/b/a DINARPROFITS.COM

Cease and desist order directing OdioWorks, LLC d/b/a DinarProfits.com to immediately cease and desist from all currency exchange activity in the State of Arkansas until properly licensed.

C-11-0211-11-OR01
4/5/2011

THOMAS C. MATEVIA, P.A.

d/b/a LEGAL HOME LOAN SOLUTIONS

A cease and desist order pertaining to violations of the Arkansas Fair Mortgage Lending Act concerning unlicensed mortgage loan modification activity and the collection of advanced fees by Thomas C. Matevia, P.A.

S-11-0228-11-OR1
3/30/2011

JOHN BLAKE-ZUNIGA

A consent order finding that John Blake-Zuniga conducted unauthorized outside business activity in violation of Ark. Code Ann. § 23-42-308(a)(2)(G) and Rule 308.01(R) of the Rules of the Arkansas Securities Commissioner.

S-11-0228-11-OR2
3/30/2011

JULIA YOUNGBLOOD

A consent order finding that Julia Youngblood conducted unauthorized outside business activity in violation of Ark. Code Ann. § 23-42-308(a)(2)(G) and Rule 308.01(R) of the Rules of the Arkansas Securities Commissioner.

S-10-0116-11-OR11
3/23/2011

IRX THERAPEUTICS, INC.

Consent order entered in connection with a filing violation of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner as a notice filer for covered securities failed to file its Form D with the Department within the required time frame after the first sale in Arkansas.

S-10-0146-11-OR01
3/22/2011

BRIDGEHAMPTON LONG EQUITY FUND LLC

Consent order entered in connection with a filing violation of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner as a notice filer for covered securities failed to file its Form D with the Department within the required time frame after the first sale in Arkansas.

S-11-0234-11-OR01
3/22/2011

NYTEX ENERGY HOLDINGS, INC.

Consent order entered in connection with a filing violation of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner as a notice filer for covered securities failed to file its Form D with the Department within the required time frame after the first sale in Arkansas.

S-08-059-11-OR02
3/11/2011

TIQARI TRADING COMPNAY, LLC,

WALTER "JACK" YOUNGBLOOD, and

JAMES C. HARVEY

Cease and desist order concerning the sale of unregistered securities and securities fraud in violation of the Arkansas Securities Act.

S-10-0154-11-OR01
3/10/2011

HIGHLANDER PARTNERS HEALTHCARE FUND LP

Consent order entered in connection with a filing violation of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner as a notice filer for covered securities failed to file its Form D with the Department within the required time frame after the first sale in Arkansas.

S-10-0098-10-OR01
2/23/2011

FISHNATURE, INC.

Consent order entered in connection with a filing violation of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner as a notice filer for covered securities failed to file its Form D with the Department within the required time frame after the first sale in Arkansas.

C-11-0221-11-OR01
2/8/2011

TEMPUS CONSULTING, INC.

Consent order entered in connection with unlicensed money services activity in violation of the Arkansas Money Services Act.

S-10-0153-11-OR01
2/7/2011

THE HOME BUSINESS CORPORATION d/b/a EMAILWE.COM COMMUNICATIONS; DARELL WOODARD; AND MARVIN JACKSON

Cease and desist order directing The Home Business Corporation d/b/a Emailwe.com Communications; Darell Woodard and Marvin Jackson to cease and desist from selling and/or offering unregistered securities and engaging in any fraudulent activity in connection with the offer or sale of any securities in Arkansas.

C-11-0220-11-OR01
2/4/2011

GPAL, INC. and BENJAMIN P. CANNON

Cease and desist order concerning unliscened money transmission activity in violation of the Arkansas Money Services Act.

C-11-0208-11-OR01
2/3/2011

STERLING CURRENCY GROUP, LLC

 d/b/a DINAR BANKER.COM

 

Consent order entered in connection with unlicensed currency exchange activity in violation of the Arkansas Money Services Act.

C-10-116-11-OR01
2/3/2011

NATIONAL RELIEF GROUP, INC.

A cease and desist order pertaining to violations of the Arkansas Fair Mortgage Lending Act concerning unliscened mortgage loan modification activity and the collection of advanced fees by National Relief Group, Inc.

C-10-0150-11-OR01
2/3/2011

SELECT DEBT SOLUTIONS, INC.

A cease and desist order pertaining to violations of the Arkansas Fair Mortgage Lending Act concerning unliscened mortgage loan modification activity and the collection of advanced fees by Select Debt Solutions, Inc. 

C-11-0217-11-OR01
1/31/2011

ARKANSAS FAIR MORTGAGE LENDING ACT,

ARK. CODE ANN. § 23-39-506(a)(2)

Order prescribing the process and form for the 2011 annual mortgage activity report.

S-11-0207-11-OR01
1/28/2011

REGISTRATION OF RONALD J. CLAYTON, WITH

FIRST FINANCIAL EQUITY CORPORATION

Order approving limited agent registration for Ronald J. Clayton with First Financial Equity Corporation.

S-10-0093-10-OR01
1/12/2011

OZOFII ACCESS LTD.

Consent order entered in connection with a filing violation of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner as a notice filer for covered securities failed to file its Form D with the Department within the required time frame after the first sale in Arkansas.


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