Administrative Orders

Year 2018


S-18-0077-18-OR01
8/16/2018

MACKROW ASSET MANAGEMENT GROUP and

JOHN N. CUCINELLA

A cease and desist order concerning unregistered broker-dealer and agent activity, as well as the sale of unregistered securities.

S-18-0064-18-OR01
7/26/2018

BURLESON TOWNHOME PARTNERS, LLC

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

C-18-0083-18-OR01
7/18/2018

LICENSURE OF HEATHER NICOLE GREEN

WITH STATE FARM BANK, F.S.B.

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

S-18-0075-18-OR01
7/6/2018

WINDSOR STREET CAPITAL, LP

Summary order canceling registration entered by the Arkansas Securities Commissioner canceling the broker-dealer registration of Windsor Street Capital, LP in the state of Arkansas.

S-18-0074-18-OR01
6/21/2018

Order Delegating Commissioner Duties

Order Delegating Duties of the Commissioner temporarily to Deputy Commissioner.

C-18-0072-18-OR01
6/19/2018

LICENSURE OF GARRETT STEVEN YOUNGBLOOD

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Garrett Steven Youngblood with State Farm Bank, F.S.B.

S-16-0063-18-OR01
6/18/2018

REALTYSHARES 364, LLC

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

S-18-0053-18-OR01
5/30/2018

BALLCORPS, LLC

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

S-18-0042-18-OR01
5/29/2018

CADDO MOUNTAIN SPRING WATER, LLC

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

C-18-0060-18-OR01
5/22/2018

LICENSURE OF MANDY ANN MONTGOMERY

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Mandy Ann Montgomery with State Farm Bank, F.S.B.

S-15-0040-18-OR02
5/18/2018

BLUEBIRD SAND, LLC, ANTHONY D. STEWART,

F. WAYLAN HENLEY, REBECCA L. HENLEY, and

CURTIS BLANE JOHNSON

 

A consent order entered for sales of unregistered securities and the employment of an unregistered agent of the issuer. The respondents were assessed a fine of $15,000 payable within 30 days of the issuance of the order.

S-18-0041-18-OR01
5/15/2018

SOUNDFI SYSTEMS, LLC

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

S-18-0047-18-OR01
5/14/2018

REALTYSHARES 346, LLC

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

C-18-0049-18-OR01
5/11/2018

LICENSURE OF SAMANTHA JO HUCKABEE

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Samantha Jo Huchabee with State Farm Bank, F.S.B.

S-18-0031-18-OR01
4/5/2018

YOUSUF SALJOOKI

A consent order denying an application for registration as a broker-dealer agent due to a violation of the Arkansas Securities Act.

S-18-0038-18-OR01
3/28/2018

AFR BROKERAGE LLC and

ANTRON F. RAMEY

A cease and desist order directing AFR Brokerage LLC and Antron F. Ramey to stop engaging in unregsitered broker-dealer and agent activity and to refrain from committing securities fraud in connection with the offer or sale of any security in Arkansas.

S-18-0037-18-OR01
3/16/2018

SNIFFLE HEALTH INC.

Consent order entered concerning the failure to file a notice of exemption within 15 days pursuant to Rule 504.01(a)(13)(N).

C-18-0034-18-OR01
3/6/2018

LICENSURE OF JASON DANIEL JOHNSON

WITH STATE FARM BANK, F.S.B.

Order approving liscensure of Jason Daniel Johnson with State Farm Bank, F.S.B.

C-18-0033-18-OR01
3/6/2018

LICENSURE OF TYLER MAX GARNETT

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Tyler Max Garnett with State Farm Bank, F.S.B.

S-17-0128-18-OR01
2/28/2018

CAPROCQ CORE HOLDINGS, L.P.

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

C-18-0026-18-OR01
2/28/2018

LICENSURE OF BRYNN ANTHONY HOBBS

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Brynn Anthony Hobbs with State Farm Bank, F.S.B.

S-18-0020-18-OR01
2/26/2018

DR. CRAIG A. DUNN

Order entered approving limited agent registration.

S-17-0116-18-OR02
2/23/2018

OSIRISO ISLAM and

DESIACS SANDWICHES

A cease and desist order directing Respondents to stop engaging in unregistered securities activity and to refrain from committing securities fraud in connection with the offer and or/sale of securities in Arkansas.

S-18-0022-18-OR01
2/22/2018

KBS REAL ESTATE INVESTMENT TRUST III, INC.

Consent order entered concerning the failure to file proofs of exemption pursuant to Ark. Code Ann. §23-42-504(a)(10).

S-18-0021-18-OR01
2/22/2018

PHILLIPS EDISON GROCERY CENTER REIT II, INC.

Consent order entered concering the failure to file proofs of exemption pursuant to Ark. Code Ann. §23-42-504(a)(10).

S-17-0131-18-OR01, S-18-0009-18-OR01 and S-18-0010-18-OR01
2/20/2018

REALTYSHARES 334, LLC

REALTYSHARES 336, LLC

REALTYSHARES 347, LLC

Consent order entered against three issuers of covered securities for late notice filings with the Department.

C-18-0024-18-OR01
2/20/2018

LICENSURE OF KEITH DOUGLAS BROOKS

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Keith Douglas Brooks with State Farm Bank, F.S.B.

S-18-0018-18-OR01
2/15/2018

KBS STRATEGIC OPPORTUNITY REIT, INC.

Consent order entered concerning the failure to file proofs of exemption pursuant to Ark. Code Ann. §23-42-504(a)(10).

S-17-0132-18-OR01
2/5/2018

WESLEYAN INVESTMENT FOUNDATION, INC.

Consent order entered concerning the failure to file proofs of exemption pursuant to Ark. Code Ann. §23-42-503(a)(7).

C-18-0016-18-OR01
2/1/2018

LICENSURE OF STEWART AARON SMART

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Stewart Aaron Smart, with State Farm Bank, F.S.B.

S-17-0045-18-OR02
1/8/2018

ARKANSAS AIR WAVES, INC. and

WILLIAM E. LANGSTON

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

C-16-0106-18-OR01
1/3/2018

PHH MORTGAGE CORPORATION

Settlement Agreement and Consent Order entered with PHH Mortgage Corporation for allegations of misconduct related to PHH Mortgage Corporation's mortgage-servicing practices constituting a violation of the Fair Mortgage Lending Act and the Rules of the Fair Mortgage Lending Act.


< back to year select
 

contact us

Telephone: (501) 324-9260
Facsimile: (501) 324-9268
Hotline: (800) 981-4429
info@securities.arkansas.gov
Browse the ASD Contact Directory
search license database