Administrative Orders

Year 2020


S-19-0066-20-OR01
11/5/2020

Sidney Eugene Banks

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. 

S-20-0048-20-OR01
10/30/2020

JKV Access Fund, LLC 

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. 

S-20-0047-20-OR01
10/21/2020

LEGALBITCOINMINING.COM

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. 

S-19-0062-20-OR01
10/14/2020

HRH Financial, LLC

and Houston Ray Harrison 

Consent order entered in connection with violations of the Arkansas Securities Act concerning unsuitable securities recommendations, misstatements of material information, and unregistered agent activity. 

C-20-0043-20-OR01
9/15/2020

Registration of James Mat Fowler

with Highlands Residential Mortgage, LTD.

Order approving registration of James Mat Fowler with Highlands Residential Mortgage, LTD.

S-20-0042-20-OR01
8/28/2020

CourtAvenue, LLC

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. 

S-19-0069-19-OR01
8/18/2020

McGehee Capital Management, Inc. 

and Stewart Bruce McGhee

Consent order entered to suspend the registrations of the Respondents in connection of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner. 

S-20-0041-20-OR01
8/13/2020

Janice Kibler

Order entered by the Arkansas Securities Commissioner granting limited agent registration. 

S-20-0007
7/8/2020

VEKX Global, LLC 

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. 

S-20-0034-20-OR02
6/23/2020

Kuettel Capital, LLC

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. 

S-20-0033-20-OR01
6/17/2020

Mark Baxter a/k/a Mark Morrow

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. 

S-20-0032-20-OR01
6/16/2020

Fitbod-2, A Series of Jason's Syndicate, LLC

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. 

S-18-0085
6/4/2020

Andrew S. Lee

Cease and desist order concerning acting as an unregistered investment adviser and securities fraud. 

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.

 

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.

C-20-0021-20-OR01
4/2/2020

Licensure of Quicken Loans, Inc. 

Branch 1723 North University Avenue

Little Rock, AR

Order approving Quicken Loans, Inc., Branch 1723 North University Avenue Little Rock, AR.

S-20-0014-20-OR01
3/27/2020

Bagby Financial Services, Inc.

Consent order entered with the Respondent to resolve issues with an unregistered branch location in Arkansas.

C-20-0019-20-OR01
3/26/2020

Licensure of Quicken Loans, Inc., 

Branch 1556 Highway 62/412

Highland, AR 

Order approving licensure of Quicken Loans, Inc., Branch 1556 Highway 62/412 Highland, AR.

C-20-0018-20-OR01
3/26/2020

Licensure of Quicken Loans, Inc. 

Branch 620 E. Henri De Tonti Blvd., Suite B

Springdale, AR

Order approving licensure of Quicken Loans, Inc, Branch 620 E. Henri De Tonti Blvd., Suite B, Springdale, AR. 

S-20-0017-20-OR01
3/24/2020

Amanda Gerner

Order entered by the Arkansas Securities Commissioner granting limited agent registration.

S-20-0011-20-OR01
3/9/2020

Marcdavid Green Solutions Company

Consent order regarding the sale of unregistered securities. 

S-18-0099-20-OR02
3/9/2020

Fayne Trucking, LLC and Maurice Fayne

Cease and desist order concerning the sale of fraudulent, unregistered securities. 

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. 

C-20-0008-20-OR01
3/2/2020

Licensure of Quicken Loans, Inc.,

Branch 2860 Harrison Street

Batesville, AR

Order approving licensure of Quicken Loans, Inc., Branch 2860 Harrison Street, Batesville, AR. 

S-12-0134-20-OR02
2/11/2020

Bankers Life and Casualty Company

and BLC Financial Services, Inc. 

Consent order to amend Order No. S-12-0134-12OR01 with Bankers Life and Casualty Company and BLC Financial Services, Inc. 

S-20-0005-20-OR01
1/23/2020

Peter A. Hedstrom

Order entered by the Arkansas Securities Commissioner granting limited agent registration.

S-20-002-20-OR01
1/9/2020

Nedra Jean Macshane

Order entered by the Arkansas Securities Commissioner granting limited agent registration.

S-20-0001-20-OR01
1/9/2020

Henry Cooper and

Network Trade, LLC

A cease and desist order concerning the sale of fraudulent, unregistered securities. 

S-20-0003-20-OR01
1/9/2020

Linda Picazzo

Order entered by the Arkansas Securities Commissioner granting limited agent registration.


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