Administrative Orders

Year 2012


C-12-0270-12-OR-01
12/20/2012

LICENSURE OF CEDRIC WILLIAMS

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Cedric Williams with State Farm Bank, F.S.B.

S-11-0310-12-OR01
12/19/2012

UNITED STATES OIL & GAS CORP.,

OMAR LEON PLUMMER (CRD# 2967570), &

ALEXANDER WILLIAM TAWSE

Cease and desist order directing the respondents to stop the offer and sale of securities in Arkansas and to refrain from further activity in violation of the Arkansas Securities Act and the Rules of the Arkansas Securities Commissioner.

S-12-0159-12-OR01
12/19/2012

CHAD DEAN HARTSFIELD

Consent order entered with Chad Dean Hartsfield for transacting business in Arkansas as an agent of an issuer without being registered under the Arkansas Securities Act, in violation of the Act and the Rules of the Arkansas Securities Commissioner.

S-12-0104-12-OR02
12/13/2012

DUNWELL CORPORATION, and

PRESTON ENERGY, INC.

Cease and desist order ordering the respondents to cease the offer and sale of securities until and unless they are registered or exempt from registration.

S-12-0136-12-OR01
12/13/2012

UVEST FINANCIAL SERVICES GROUP, INC.

Consent order entered with UVEST Financial Services Group, Inc., in connection with the Bankers Life and Casualty Company and BLC Financial Services, Inc. global settlement (Order No S-12-0134-12-OR01), for engaging in dishonest or unethical practices in the securities business by materially aiding an act, practice, or course of business constituting a violation of the Arkansas Securities Act and the Rules of the Arkansas Securities Commissioner.

S-11-0253-12-OR02
12/12/2012

BRADEN S. HILL (CRD #2796421)

Consent order for revocation of broker-dealer agent and investment adviser representative registration for violations of the Arkansas Securities Act and the Rules of the Arkansas Securities Commissioner.

S-12-0233-12-OR01
12/4/2012

JADE ASSET ADVISORS, WALTER A. "CHIP" TYE, AND

ELIZABETH LITTLETON

Cease and desist order directing parties to stop transacting business in Arkansas as an investment adviser or representatives without being registered or committing fraud or deciet in violation of the Arkansas Securities Act.

C-12-0265-12-OR01
11/30/2012

LICENSURE OF VIKKI HUDSON

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Vikki Hudson with State Farm Bank, F.S.B.

C-12-0266-12-OR01
11/30/2012

LICENSURE OF ROGER CLARK

WITH STATE FARM BANK, F.S.B.

Order approving licensure with State Farm Bank, F.S.B.

C-12-0267-12-OR01
11/30/2012

LICENSURE OF WARREN EDWARD LASYONE

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Warren Edward Lasyone with State Farm Bank, F.S.B.

C-12-0268-12-OR01
11/30/2012

LICENSURE OF DEREK MCCOY

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Derek McCoy with State Farm Bank, F.S.B.

S-12-0263-12-OR01
11/26/2012

ARKANSAS DEVELOPMENT FINANCE AUTHORITY

Order declaring Arkansas Development Finance Authority an institutional buyer for a tranactional exemption pursuant to Ark. Code Ann. § 23-42-504(a)(8).

S-12-0135-12-OR01
11/19/2012

PROEQUITIES, INC.

Consent order entered with ProEquities, Inc., in connection with the Bankers Life and Casualty Company and BLC Financial Services, Inc. global settlement (Order No. S-12-0134-12-OR01), for engaging in conduct giving rise to liability under Section 23-42-308 of the Arkansas Securities Act.

S-12-0221-12-OR01
11/13/2012

BROWN DOG FINANCIAL, LLC

Cease and desist order directing an exempt reporting adviser to not transact business in Arkansas as an investment adviser without being registered under the Act or otherwise complying with the Act.

C-12-0106-12-OR02
11/8/2012

AMERICAHOMEKEY, INC.

Order for the revocation of the mortgage banker, mortgage broker, and mortgage servicer license of AmericaHomeKey, Inc., for failure to maintain a surety bond, failure to file a quarterly mortgage call report, failure to report a change of address, and multiple revocations of its mortgage lending license by other state regulators.

S-12-0190-12-OR01
11/6/2012

SPYDER LYNK, 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-12-0247-12-OR01
11/5/2012

LICENSURE OF SEAN WHETSTONE

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Sean Whetstone with State Farm Bank, F.S.B.

C-12-0246-12-OR01
11/5/2012

LICENSURE OF JASON GLOVER

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Jason Glover with State Farm Bank, F.S.B.

C-12-0244-12-OR01
11/5/2012

LICENSURE OF JAMES GOWEN

WITH STATE FARM BANK, F.S.B.

Order approving licensure of James Gowen with State Farm Bank, F.S.B.

S-12-0066-12-OR01
10/26/2012

MORGAN KEEGAN & COMPANY, INC.

A consent order entered in connection with Morgan Keegan Company for failing to supervise its former employee, Keith H. Freeman.

S-12-0072-12-OR02
10/8/2012

M&M TECHNOLOGIES, INC.

A consent order entered in connection with the sale of unregistered securities in violation of the Arkansas Securities Act.

S-11-0219-12-OR05
10/8/2012

CAMBRIDGE LEGACY SECURITIES, L.L.C.

A consent order permanentley revoking the broker-dealer registration of Cambridge Securities for multiple violations the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner.

C-12-0223-12-OR01
9/28/2012

LICENSURE OF MICHELLE BALSTAD

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Michelle Balstad with State Farm Bank, F.S.B.

C-12-0160-12-OR01
9/28/2012

LICENSURE OF PAUL JOSEPH WIEGEL

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Paul Joseph Wiegel with State Farm Bank, F.S.B.

C-12-0224-12-OR01
9/28/2012

LICENSURE OF HEATHER POWELL

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Heather Powell with State Farm Bank, F.S.B.

C-12-0228-12-OR01
9/28/2012

LICENSURE OF CHAD WINN

WITH STATE FARM BANK, F.S.B.

Oder approving licensure of Chad Winn with State Farm Bank, F.S.B.

C-12-0225-12-OR01
9/28/2012

LICENSURE OF MATT McCOY

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Matt McCoy with State Farm Bank, F.S.B.

C-12-0226-12-OR01
9/28/2012

LICENSURE OF LEE DOUCET

WITH STATE FARM BAK, F.S.B.

Order approving licensure of Lee Doucet with State Farm Bank, F.S.B.

C-12-0227-12-OR01
9/28/2012

LICENSURE OF STEPHANIE MAY

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Stephanie May with State Farm Bank, F.S.B.

C-12-0229-12-OR01
9/28/2012

LICENSURE OF GERALD FINLEY CHAFIN, III

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Gerald Finley Chafin, III with State Farm Bank, F.S.B.

C-12-02030-12-OR01
9/28/2012

LICENSURE OF ALONZO WILSON, II

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Alonzo Wilson, II with State Farm Bank, F.S.B.

C-12-0231-12-OR01
9/28/2012

LICENSURE OF ROBERT MICHAEL TAYLOR

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Robert Michael Taylor with State Farm Bank, F.S.B.

C-12-0232-12-OR01
9/28/2012

LICENSURE OF MICHAEL DON WATSON

WITH STATE FARM BANK, F.S.B.

Order approving Licensure of Michael Don Watson with State Farm Bank, F.S.B.

C-12-0234-12-OR01
9/28/2012

LICENSURE OF HUNTER CHAUMONT

WITH STATE FARM BANK, F.S.B.

Order approving Licensure of Hunter Chaumont with State Farm Bank, F.S.B.

C-12-0235-12-OR01
9/28/2012

LICENSURE OF CYNTHIA ROUGEAU

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Cynthia Rougeau with State Farm Bank, F.S.B.

S-11-0348-12-OR01
9/25/2012

JOHN THOMAS FINANCIAL, INC,

Consent order entered for violations of the Arkansas Securities Act concerning the failure to properly disclose handling fees.

S-12-0013-12-OR03
9/24/2012

LARRY P. STIDMAN

Consent order entered into for violation of the provisions of the Arkansas Securities Act prohibiting the sale of unregistered securities and securities fraud in connection with the offer or sale of securities.

S-12-0134-12-OR01
9/18/2012

BANKERS LIFE and CASUALTY COMPANY

and BLC FINANCIAL SERVICES, INC.

Consent order entered in connection with Bankers Life and Casualty Company and BLC Financial Services, Inc., for acting as unregistered broker-dealers and investment advisers in Arkansas and for employing unregistered agents, in violation of the Arkansas Securities Act.

S-11-0315-12-OR02
9/14/2012

TRAIL CREEK CROSSING, LLC

Consent order entered in connection with the use of general solicitation and/or advertisement in a Rule 506 offering in violation of Rule 502(c) of Regulation D.

S-11-0315-12-OR01
9/14/2012

 THE INCOME FUND, LLC

Consent order entered in connection with the use of general solicitation and/or advertisement in a Rule 506 offering in violation of Rule 502(c) of Regulation D.

S-12-0066-12-OR02
9/4/2012

KEITH H. FREEMAN

Consent order for permanent revocation of broker-dealer agent registration for violations of the Arkansas Securities Act.

S-09-059-12-OR14
8/30/2012

CARR MILLER CAPITAL, LLC; CAPITAL MARKETS ADVISORY, LLC, f/k/a CARR MILLER CAPITAL INVESTMENTS, LLC; EVERTT CHARLES FORD MILLER; and BRIAN PATRICK CARR

Final Order affirming Cease and Desist Order as to all parties; revoking investment adviser registration of Carr Miller Capital Investments, LLC; and fining Carr Miller Capital Investments, LLC, for violations of the Arkansas Securities Act.

S-11-0398-12-OR01
8/27/2012

EKN FINANCIAL SERVICES, INC.

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

S-12-0188-12-OR01
8/22/2012

CHARLOTTE JEROME KAISER

Order approving a limited agent registration for Charlotte Jerome Kaiser.

C-12-0109-12-OR01
8/16/2012

EAGLE MORTGAGE & FUNDING, LLC

Failure to timely file the quarterly Mortgage Call Report

C-12-0131-12-OR01
8/16/2012

6717381 CANADA INC. D/B/A SOLIDTRUST PAY

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

S-12-0144-12-OR01
8/14/2012

MICHAEL WHITE and WHITE INVESTMENT MANAGEMENT

Consent order entered denying application for registration as investment adviser under the Arkansas Securities Act.

S-12-0137-12-OR02
8/6/2012

WALLACE J. LITTRELL, JR., TO LOVE GOD, LLC d/b/a POP-N-SHOTS, and THE LITTRELL GROUP

Cease and desist order entered in connection with the sale of unregistered securities through the use of misstatements and omissions, as well as the misuse of investor's funds by Littrell.

S-12-0128-12-OR01
8/2/2012

CONESTOGA SETTLEMENT TRUST

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-12-0106-12-OR01
7/30/2012

AMERICAHOMEKEY, INC.

Notice of hearing on revocation of the mortgage banker, mortgage broker, and mortgage servicer license of AmericaHomeKey, Inc., and order summarily suspending the mortgage banker, mortgage broker, and mortgage servicer license of AmericaHomeKey, Inc., pending the hearing.

S-11-0219-12-OR07
7/30/2012

HENRY HORACE "BUSTER" GODBEE, III and

ALEX LANCE WITTENBURG

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

C-12-0133-12-OR01
7/25/2012

NTFN, INC.

A consent order in connection with violations of the Arkansas Fair Mortgage Lending Act.

C-12-0132-12-OR-01
7/19/2012

GMFS LLC

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

S-12-0101-12-OR01
7/19/2012

CSA GLOBAL EQUITY, 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-12-0141-12-OR01
7/17/2012

eZforex.com, Inc. d/b/a eZforex.com

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

S-12-0143-12-OR01
7/16/2012

REGISTRATION OF STUART EPLEY

An order approving a conditional registration of Stuart Epley as a broker-dealer agent with IFS Securities.

S-09-017-12-OR02
7/10/2012

CHRISTOPHER COLLIER

Order revoking registrations and fining former agent and representative of Stanford Group Company.

S-12-0130-12-OR01
6/11/2012

RT MIKKELSEN ADVISORS

AND ROBERT MIKKELSEN

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

S-12-0129-12-OR01
5/31/2012

THOMAS S. RUSSELL

Order approving a limited agent registration for Thomas S. Russell.

C-12-0100-12-OR01
5/22/2012

OPEN MORTGAGE, LLC

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

S-12-0097-12-OR01
5/21/2012

LEWIS RUSSELL HOWARD

Order approving a limited agent registration for Lewis Russell Howard.

S-12-0078-12-OR01
5/18/2012

P & A MULTI-SECTOR FUND, 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-12-0021-12-OR03
5/11/2012

REGISTRATION OF DAVID S. ECKESS

An order granting David S. Eckess conditional registrations as an agent and representative.

S-12-0021-12-OR02
5/10/2012

DAVID S. ECKESS

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

S-12-0069-12-OR01
4/27/2012

SERVERGY, 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-12-0070-12-OR01
4/24/2012

CLEAR RIVER ENVIRO, 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-12-0076-12-OR01
4/4/2012

GUARANTY LOAN & REAL ESTATE CO.

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

S-09-024-11-OR15
4/4/2012

RAYMOND JAMES & ASSOCIATES, INC.,

AND RAYMOND JAMES FINANCIAL SERVICES, INC.

 

Consent order entered in connection with Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. in settlement of an investigation into the auction rate securities market activities of Raymond James and where Raymond James agreed to buy back auction rate securities from Arkansas investors and pay a fine,

C-11-0350-12-OR01
3/21/2012

PRIMARY RESIDENTIAL MORTGAGE, INC.

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

C-12-0019-12-OR01
3/15/2012

URBAN FINANCIAL GROUP, INC.

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

S-12-0058-12-OR02
3/14/2012

REGISTRATION OF IAN FRENCH WITH

WUNDERLICH SECURITIES, INC.

An order granting Ian French conditional registration as a registered agent and representative for Wunderlich Securities, Inc..

S-09-059-12-OR13
2/29/2012

REGISTRATION OF SAMUEL C. TALBERT WITH

NMS CAPITAL ASSET MANAGEMENT, INC.

An order granting Samuel C. Talbert conditional registration as a registered representative of NMS Capital Asset Management, Inc.

S-12-0010-12-OR02
2/27/2012

IVOL R. GREEN and

ENTERPRISE WORLD TRUST, LLC

A cease and desist order directing Enterprise World  Trust, LLC, and Ivol R. Green, Chief Executive Manager, to cease offering and selling investment contracts, a type of security, until properly registered.

S-11-0399-12-OR01
1/30/2012

REGISTRATION OF THOMAS RANEY WITH ST. BERNARD FINANCIAL SERVICES, INC.

Order entered granting a limited IA representative registration for Thomas Raney with St. Bernard Financial Services, Inc.

S-12-0004-12-OR01
1/26/2012

IRONWOOD RECOVERY FUND 2011 QP 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-11-0364-12-OR01
1/11/2012

NOSARI HOME MORTGAGE, INC.

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

C-11-0349-12-OR01
1/6/2012

TREASURY VAULT, LLC

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


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