Administrative Orders

Year 2015


S-15-0040-15-OR01
11/24/2015

BLUE ZEBRA BRANDS, 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-15-0046-15-OR01
11/20/2015

PROSPECT MORTGAGE, LLC

Settlement Agreement and Consent Order between 50 state mortgage regulators and Prospect Mortgage, LLC involving improperly disclosed and unsupported fees paid to Prospect's affiliate.

S-10-0060-15-OR05
11/12/2015

ERNEST ANCIN BARLETT, III, and

HOWARD MILLER APPEL

Consent order entered in final settlement of Cease and Desist Order No. S-10-0060-13-OR04 dated July 9, 2013, in connection with violations of the Arkansas Securities Act.

S-15-0041-15-OR01
11/9/2015

SPLENDID LABS, INC.

Consent order entered in connection witha 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-12-0102-15-OR03
10/30/2015

NIAZ ELMAZI

Summary order barring registration entered in connection with violations of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner.

S-15-0028-15-OR01
10/19/2015

TIMOTHY ALONZA LILLY

A consent order denying an application for registration as an agent of an investment adviser for violations of the Arkansas Securities Act.

S-15-0035-15-OR01
10/8/2015

CLARE LEWIS

 Order granting limited agent registration.

S-15-0037-15-OR01
10/5/2015

FUSION RESOURCES, LLC - LITTLE GARRETT PROJECT

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-15-0015-15-OR02
10/5/2015

BILLY WAYNE ALLEN

A Final Order revoking the agent of a broker-dealer and investment adviser representative registrations.

S-15-0036-15-OR01
10/5/2015

FUSION RESOURCES, LLC - CHAPPELL MADDUX PROJECT

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-14-0071-15-OR02
10/2/2015

KRIS LYNN TURNER

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

S-15-0017-15-OR01
8/28/2015

THE BULLION GROUP, INC.; and

LUIS MANUEL PINEDA

A cease and desist order directing the respondents to stop the offer or sale of unregistered securities in Arkansas and to refrain from committing fraud or deceit in connection with the offer or sale of any security in Arkansas.

S-15-0030-15-OR01
8/28/2015

CURTIS LUMBER COMPANY, 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-15-0033-15-OR01
8/28/2015

THE BUDDY COMPANIES, LLC; and SIMONE SIMON

A cease and desist order directing the respondents to stop the offer or sale of unregistered securities in Arkansas.

S-15-0013-15-OR02
8/25/2015

ALLIED ENERGY, INC.

A consent order concerning violations of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner.

C-15-0031-15-OR01
8/25/2015

LICENSURE OF JAMES MICHAEL BOYETT

WITH STATE FARM BANK, F.S.B.

Order approving liscensure of James Michael Boyett with State Farm Bank, F.S.B.

S-14-0097-15-OR02
8/20/2015

TIMOTHY ALONZA LILLY and

BLW DEBT RESOLUTION, LLC

A cease and desist order issued in connection with the offer and sale of unregistered securities.

S-14-0000-15-OR01
8/11/2015

MEGGATEL CORPORATION, WILLIAM W. EVANS,

and ARNON C. BOYD

A cease and desist order concerning selling securities through misstatements and omissions in violation of the Arkansas Securities Act. 

S-13-0088-14-OR01
8/5/2015

BONANZA GOLDFIELD CORP.

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-15-0022-15-OR01
8/3/2015

RESTORATION ROBOTICS, 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-15-0026-15-OR01
8/3/2015

REGISTRATION OF JOESPH BUMPERS AND

GARY CHAMBERS WITH FIRST SECURITY FUND ADVISERS, INC.

Order granting limited investment adviser representative registrations.

C-15-0027-15-OR01
7/30/2015

LICENSURE OF LARRY REID ROBERTSON

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Larry Reid Robertson with State Farm Bank, F.S.B.

S-15-0006-15-OR02
7/23/2015

JOHN LATHERN HILL

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

S-15-0016-15-OR01
7/10/2015

CITIGROUP GLOBAL MARKETS, INC.

Administrative consent order entered in connection with violations of the Arkansas Securities Act and the Rules of the Arkansas Securities Commissioner.

S-15-0017-15-OR01
6/9/2015

THE BULLION GROUP, INC.; and

LUIS MANUEL PINEDA

A cease and desist order directing the respondents to stop offering and selling securities to Arkansas residents until the securities in question and the entities and persons offering and selling the securities are all properly registered or exempt under the Arkansas Securities Act.

S-12-0077-15-OR02
5/29/2015

INTERACTIVE DIGITAL SYSTEMS, LLC; AD-MAR, LLC;

DENNIS F. ROBINSON and JAN RICHEY ROBINSON

A cease and desist order directing the respondents to stop the offer or sale of unregistered securities in Arkansas and to refrain from committing fraud or deceit in connection with the offer or sale of any security in Arkansas.

S-13-0137-15-OR01
5/22/2015

JONATHAN EDWARD RAGO

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

S-14-0084-15-OR05
5/7/2015

STEELE V. STEPHENS

Final order entered in connection with violations of the Arkansas Securities Act and Rules of the Arkansas Securities Department.

C-15-0000-15-OR01
4/13/2015

NEW DAY FINANCIAL, LLC d/b/a NEWDAY USA

Settlement Agreement and Consent Order between 43 state mortgage regulators and New Day Financial, LLC involving the impermissible sharing of test information for mortgage professionals.

S-13-0112-15-OR04
4/1/2015

SALVATORE GIOE

Order entered in connection with violations of the Arkansas Securities Act and Rules of the Arkansas Securities Department.

S-12-0010-15-OR05
3/18/2015

IVOL R. GREEN, ENTERPRISE WORLD TRUST, LLC,

GATEKEEPER INVESTMENT GROUP, LLC,

JAMES W. STRICKHAUSEN, DAVID E. EVANS and LAMECH KAMUZA

A cease and desist order issued in connection with the offer and sale of unregistered securities issued by Enterprise World Trust, LLC. The order includes findings of securities fraud, the sale of unregistered securities, acting as an unregistered broker-dealer, acting as an unregistered agent of a broker-dealer, acting as an unregistered agent of the issuer and employment of an unregistered agent. This order replaces an order issued in the same case on November 25, 2014.

S-15-0008-15-OR01
3/12/2015

ARKANSAS CAMA TECHNOLOGY, INC.,

THOMAS ROBIE SCOTT, III and AUDREY GALE SCOTT,

TRUSTEES OF THE TOM AND GALE SCOTT REVOCABLE TRUST, 

RICHARD A. CARN and PHILLIP R. SCOTT 

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

S-13-0110-14-OR01
3/10/2015

ALEXANDER BRETT KOGAN

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

C-15-0007-15-OR01
3/9/2015

LICENSURE OF BRIAN ALAN WEATHERFORD

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Brian Alan Weatherford with State Farm Bank, F.S.B.

S-12-0063-15-OR07
3/4/2015

ST. BERNARD FINANCIAL SERVICES, INC.; and

ROBERT KEENAN, JR.

Consent order entered fining St. Bernard Financial Services, Inc. $25,000.00 for violations of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner.

S-12-0138-14-OR01
1/5/2015

DENVER ENERGY EXPLORATION, 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-14-0096-14-OR01
1/5/2015

FNC INSURANCE AGENCY, INC.

An order approving licensure under the Money Services Act and outlining a settlement aggrement for violations of same.


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