Administrative Orders

Year 2016


S-16-0097-16-OR01
12/30/2016

JOE DON TREECE

Consent order entered to revoke the broker-dealer agent and investment adviser representative registrations in connection with violations of the Arkansas Securities Act.

C-16-0080-16-OR01
12/29/2016

LIPSKY & ASSOCIATES, INC. d/b/a EQUITY PLUS

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

S-16-0119-16-OR01
12/27/2016

J. DAVID MCCASKILL

Order entered approving a limited agent registration.

S-16-0018-16-OR02
12/13/2016

CHASTAIN FINANCIAL, LLC and

CARLA L. CHASTAIN

Consent order entered in connection with multiple violations of the Arkansas Securities Act concerning fraud and unregistered activity.

C-16-0115-16-OR01
11/21/2016

FAIR MORTGAGE LENDING ACT AND RULES

Order prescribing loan officer state law test component requirement under the Fair Mortgage Lending Act.

C-16-0105-16-OR01
11/14/2016

DAVID STRINGER

Order granting David Stringer conditional mortgage loan officer license with Union Home Mortgage Corp.

C-16-0072-16-OR01
11/10/2016

REGENT CUSTOMER CARE, LLC

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

S-16-0102-16-OR01
11/8/2016

VISIONQUEST CAPITAL LLC

Consent order entered against an issuer of covered securities for a late notice filing with Department.

S-16-0096-16-OR01
11/7/2016

MADISON FUND VI, LLC

Consent order entered against an issuer of covered securities for a late notice filing with the Department.

S-16-0107-16-OR01
11/4/2016

OTCQX and OTCQB

Order entered by the Arkansas Securities Commissioner approving manual exemptions.

S-16-0096-16-OR01
11/4/2016

GRIDCO, INC.

Consent order entered against an issuer of covered securities for a late notice filing with the Department.

S-16-0046-16-OR01
10/24/2016

MCDONALD PARTNERS LLC, CAMERON GLENN and

KATHERINE KNIGHT

Consent order entered for multiple violations of the Arkansas Securities Act concerning unregistered firm, branch and agent activity.

S-16-0086-16-OR01
10/20/2016

AKAMATSU FUND

Consent order entered against an issuer of covered securities for a late notice filing with the Department.

C-16-0100-16-OR01
10/20/2016

LICENSURE OF MATTHEW ROBERT BODSON,

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Matthew Robert Bodson with State Farm Bank, F.S.B.

S-16-0070-16-OR01
10/13/2016

HRH FINANCIAL, LLC

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

S-14-0008-16-OR03
9/12/2016

TALON CAPITAL, LLC, TALON CAPITAL, LP, AND CHARLES BAILEY FERRILL, JR.

A cease and desist order directing the Respondents to cease and desist from offering and selling securities to residents of the State of Arkansas until such time as the securities in question and the entities and persons offering and selling the securities are all properly registered under the Arkansas Securities Act and from committing fraud or deceit in connection with the offer or sale of securities in Arkansas.

S-14-0008-16-OR02
9/2/2016

RAYMOND DICKIE ADCOCK

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

C-16-0085-16-OR01
9/1/2016

LICENSURE OF DUSTIN DALE DESHAZO.

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Dustin Dale Deshazo with State Farm Bank, F.S.B.

S-16-0073-16-OR01
8/29/2016

ASCENDENT DIAGNOSTICS, LLC

Consent order entered against an issuer of covered securities for a late notice filing with the Department.

S-16-0068-16-OR02
8/15/2016

JEFFERY SMITH and

FOUR CORNERS MANAGEMENT, LLC

A cease and desist order directing the Respondents to cease and desist from offering and/or selling securities to residents of the State of Arkansas until such time as the securities in question and the entities and persons offering and selling the securities are all properly registered under the Arkansas Securities Act and from committing fraud or deceit in connection with the offer or sale of securities in Arkansas.

S-15-0047-16-OR02
8/11/2016

DRAGONFLY INDUSTRIES INTERNATIONAL, LLC and

JODY DOUGLAS DAVIS

A cease and desist order against Dragonfly Industries International, LLC and its chief executive officer, Jody Douglas Davis, finding the sale of unregistered securities, the employment of an unregistered agent of the issuer and securities fraud.

C-16-0077-16-OR01
8/9/2016

LICENSURE OF KENDALL MEAD HANCOCK,

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Kendall Mead Hancock with State Farm Bank, F.S.B.

C-16-0078-16-OR01
8/9/2016

LICENSURE OF WILLIAM CHARLES EISENHAUER,

WITH STATE FARM BANK, F.S.B.

Order approving licensure of William Charles Eisenhauer with State Farm Bank, F.S.B.

C-16-0071-16-OR01
7/25/2016

LICENSURE OF JUSTIN ALAN RAY

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Justin Alan Ray with State Farm Bank, F.S.B.

S-16-0058-16-OR01
7/22/2016

GPB AUTOMOTIVE PORTFOLIO, LP

Consent order entered against an issuer of covered securities for a late notice filing with the Department.

S-14-0087-14-OR02
7/20/2016

WILLIAM SWANNER, APPLICANT

An order granting William Swanner conditional registration as a broker-dealer agent with Chelsea Financial Services.

C-16-0062-16OR01
7/7/2016

LICENSURE OF HEATHER POWELL,

WITH STATE FARM BANK, F.S.B.

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

S-16-0022-16-OR02
7/1/2016

MARIAN BARTOSIEWICZ, and

PANOPTIC TARGETED SCIENCE, LLC

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 and deceit in connection with the offer and sale of any securities in Arkansas.

S-16-0049-16-OR01
6/3/2016

COLUMBIA FINANCIAL, LLC

Consent order entered against an issuer of covered securities for failing to notice file its SEC Form D with the Department.

S-16-0050-16-OR01
6/3/2016

OKLAHOMA FINANCIAL, LLC

Consent order entered against an issuer of covered securities for failing to notice file its SEC Form D with the Department.

S-16-0051-16-OR01
6/3/2016

CEDARS FINANCIAL, LLC

Consent order entered against an issuer of covered securities for failing to notice file its SEC Form D with the Department.

S-15-0038-16-OR01
4/26/2016

LPL FINANCIAL LLC

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

S-16-0021-16-OR01
4/18/2016

SAGITTARII FUND, LLC

Consent order concerning the sale of securities through the omission of material information in violation of the Arkansas Securities Act.

C-16-0044-16-OR01
4/8/2016

LICENSURE OF AMANDA RUTH FRIEDMAN

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Amanda Ruth Friedman with State Farm Bank, F.S.B.

S-16-0043-16-OR01
3/30/2016

JUSTIN MARSHALL CONWAY

Order entered approving a limited agent registration for Justin Marshall Conway.

S-16-0023-16-CO01 & S-16-0024-16OR01
3/25/2016

BLUE MOUNTAIN CASIS CA L.P.  and

BLUE MOUNTAIN CREDIT ALTERNATIVES 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-13-0137-16-OR02
3/16/2016

JONATHAN EDWARD RAGO

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

S-16-0018-16-OR01
3/16/2016

CHASTAIN FINANCIAL, LLC AND CARLA L. CHASTAIN

A cease and desist order directing the Respondents to refrain from engaging in investment adviser or broker-dealer related activity and, to immediately cease and desist from committing fraud or deceit in connection with the offer or sale of any securities in Arkansas.

C-16-0020-16-OR01
3/4/2016

LICENSURE OF JORDAN KEITH SMITHSON

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Jordan Keith Smithson with State Farm Bank, F.S.B.

C-15-0057-16-OR01
2/26/2016

IBERIABANK MORTGAGE COMPANY

Consent order entered in connection with violations of the Arkansas Fair Mortgage Lending Act regarding unlicensed mortgage servicer activity.

S-16-0012-16-OR01
2/23/2016

BUSINESS DEVELOPMENT CORPORATION OF AMERICA

A consent order concerning violating the Arkansas Securities Act during a dividend reinvestment program.

S-15-0018-16-OR02
2/23/2016

MILESTONE INSURANCE SERVICES, LLC

A consent order entered for violation of the Rules of the Arkansas Securities Commissioner  concerning the failure to disclose outside business activity.

C-16-0013-16-OR01
2/12/2016

LICENSURE OF DAVID MATTHEW PEGG

WITH STATE FARM BANK, F.S.B.

Order approving licensure of David Matthew Pegg with State Farm Bank, F.S.B.

C-16-0006-16-OR01
2/1/2016

LICENSURE OF DEREK BELL

WITH STATE FARM BANK, F.S.B.

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

C-16-0005-16-OR01
1/21/2016

LICENSURE OF LAUREN R. FOWLER

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Lauren R. Fowler with State Farm Bank, F.S.B.

S-15-0045-15-OR01
1/19/2016

DAVID ANDREW LUKAS

A consent order granting David Andrew Lukas conditional registration as a registered representative of David Lukas Financial.

C-16-0001-16-OR01
1/11/2016

LICENSURE OF VICTORIA BROOKE ANDREWS

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Victoria Brooke Andrews with State Farm Bank, F.S.B.

C-16-0000-16-OR01
1/4/2016

LICENSURE OF MATTHEW JASON THOMAS

WITH STATE FARM BANK, F.S.B.

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


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