Administrative Orders
Year 2020
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C-15-0024-20-OR01 12/7/2020 |
Settlement Aggrement and Consent Order entered with Nationstar Mortgage LLC, d/b/a Mr. Cooper for allegations of misconduct related to Mr. Cooper's mortgage origination and servicing practices constituting a violation of the Fair Mortgage Lending Act and the Rules of the Fair Mortgage Lending Act. |
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S-20-0034 12/1/2020 |
An order issued after a hearing on October 13, 2020, on an order issued on June 22, 2020, summarily suspending the registrations of Kuettel Capital LLC and Adam J. Kuettel as an investment adviser and investment advisor representative, respectively. The order is affirmed in all respects and the suspension is made indefinite. |
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S-19-0066-20-OR01 11/5/2020 |
Consent order entered in connection with violations of the Rules of the Arkansas Securities Commissioner concerning the Respondent’s failure to timely update and amend Form U4. |
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S-20-0048-20-OR01 10/30/2020 |
Consent order entered against an issuer of securities exempt pursuant to Ark. Code Ann. §23-42-504(a)(13) and Rule 504.01(a)(13)(N) for a late filing with the Department. |
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S-20-0047-20-OR01 10/21/2020 |
A cease and desist order directing the respondent to stop committing securities fraud in connection with unregistered broker-dealer and investment adviser activity and the offer or sale of securities in Arkansas. |
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S-19-0062-20-OR01 10/14/2020 |
Consent order entered in connection with violations of the Arkansas Securities Act concerning unsuitable securities recommendations, misstatements of material information, and unregistered agent activity. |
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C-20-0043-20-OR01 9/15/2020 |
Order approving registration of James Mat Fowler with Highlands Residential Mortgage, LTD. |
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S-20-0042-20-OR01 8/28/2020 |
Consent order entered against an issuer of securities exempt pursuant to Ark. Code Ann. §23-42-504(a)(13) and Rule 504.01(a)(13)(N) for a late filing with the Department. |
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S-19-0069-19-OR01 8/18/2020 |
Consent order entered to suspend the registrations of the Respondents in connection of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner. |
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S-20-0041-20-OR01 8/13/2020 |
Order entered by the Arkansas Securities Commissioner granting limited agent registration. |
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S-20-0007 7/8/2020 |
A cease and desist order directing the respondent to stop committing securities fraud in connection with unregistered investment adviser activity and the offer or sale of securities in Arkansas. |
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S-20-0034-20-OR02 6/23/2020 |
An order summarily suspending the registration of Kuettel Capital, LLC as an investment adviser and the registration of Adam J. Kuettel as an investment adviser representative of Kuettel Capital, LLC. |
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S-20-0033-20-OR01 6/17/2020 |
A cease and desist order directing the respondent to stop committing securities fraud in connection with unregistered investment adviser activity and the offer or sale of securties in Arkansas. |
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S-20-0032-20-OR01 6/16/2020 |
Consent order entered against an issuer of securities exempt pursuant to Ark. Code Ann. §23-42-504(a)(13) and Rule 504.01(a)(13)(N) for a late filing with the Department. |
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S-18-0085 6/4/2020 |
Cease and desist order concerning acting as an unregistered investment adviser and securities fraud. |
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C-20-0028-20-OR01 4/27/2020 |
Licensure of Quicken Loans, Inc., Branch 1069 Maxwell Street, Siloam Springs, AR Order approving the licensure of Quicken Loans, Inc., Branch 1069 South Maxwell Street, Siloam Springs, AR.
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S-18-0008-20-OR02 4/14/2020 |
Pro Options Elite and Charles Louis Bittman
Cease and desist order concerning fraudulent and unregistered investment adviser activity and fraud in the offer or sale of securities by one unregistered to offer or sell securities. |
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C-20-0021-20-OR01 4/2/2020 |
Licensure of Quicken Loans, Inc. Order approving Quicken Loans, Inc., Branch 1723 North University Avenue Little Rock, AR. |
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S-20-0014-20-OR01 3/27/2020 |
Consent order entered with the Respondent to resolve issues with an unregistered branch location in Arkansas. |
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C-20-0019-20-OR01 3/26/2020 |
Order approving licensure of Quicken Loans, Inc., Branch 1556 Highway 62/412 Highland, AR. |
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C-20-0018-20-OR01 3/26/2020 |
Licensure of Quicken Loans, Inc. Order approving licensure of Quicken Loans, Inc, Branch 620 E. Henri De Tonti Blvd., Suite B, Springdale, AR. |
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S-20-0017-20-OR01 3/24/2020 |
Amanda Gerner Order entered by the Arkansas Securities Commissioner granting limited agent registration. |
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S-20-0011-20-OR01 3/9/2020 |
Consent order regarding the sale of unregistered securities. |
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S-18-0099-20-OR02 3/9/2020 |
Cease and desist order concerning the sale of fraudulent, unregistered securities. |
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S-19-0046-20-OR02 3/9/2020 |
Metals.com A/K/A TMTE Inc. A/K/A Chase Metals, Inc. A/K/A Chase Metals, LLC A cease and desist order concerning unregistered investment adviser activity and the sale of securities through the omission of material information. |
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C-20-0008-20-OR01 3/2/2020 |
Order approving licensure of Quicken Loans, Inc., Branch 2860 Harrison Street, Batesville, AR. |
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S-12-0134-20-OR02 2/11/2020 |
Consent order to amend Order No. S-12-0134-12OR01 with Bankers Life and Casualty Company and BLC Financial Services, Inc. |
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S-20-0005-20-OR01 1/23/2020 |
Order entered by the Arkansas Securities Commissioner granting limited agent registration. |
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S-20-002-20-OR01 1/9/2020 |
Order entered by the Arkansas Securities Commissioner granting limited agent registration. |
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S-20-0001-20-OR01 1/9/2020 |
A cease and desist order concerning the sale of fraudulent, unregistered securities. |
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S-20-0003-20-OR01 1/9/2020 |
Order entered by the Arkansas Securities Commissioner granting limited agent registration. |
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