Administrative Pleadings

Year 2010


S-09-059
10/29/2010

CARR MILLER CAPITAL, LLC; CAPITAL MARKETS ADVISORY, LLC, f/k/a CARR MILLER CAPITAL INVESTMENTS, LLC; EVERETT CHARLES FORD MILLER; and BRIAN PATRICK CARR

Amended request for a cease and desist order finding that Carr Miller Capital, LLC, and Everett Charles Ford Miller offered and sold unregistered securities, and finding that Capital Markets Advisory, LLC, f/k/a Carr Miller Capital Investments, LLC, and Brian Patrick Carr transacted business as an unregistered broker-dealer in offering and selling unregistered securities as the agent of Carr Miller Capital, LLC, and ordering that all respondents cease and desist from such activities.

S-09-059
10/29/2010

CAPITAL MARKETS ADVISORY, LLC,

f/k/a CARR MILLER CAPITAL INVESTMENTS, LLC, and

BRIAN PATRICK CARR

An administrative complaint filed by the Staff alleging the offer and sale of unregistered securities and seeking fines and revocation of the registration of both respondents.

C-10-135
9/22/2010

EXPERT FINANCIAL SERVICES, INC. AND RICK WHITE, SR.

Amended request for a cease and desist order concerning unliscensed mortgage loan activity.

C-10-0057
8/16/2010

ARIA & ASSOCIATES, INC. "AMERICAN LOAN ASSISTANCE" AND ALEX CORTEZ

A request for a cease and desist order against Aria & Associates, Inc. "American Loan Assistance" and Alex Cortez.

C-10-184
7/27/2010

RELIEF LAW CENTER D/B/A USA LOAN AUDITORS

Request for a cease and desist order concerning Relief Law Center d/b/a USA Loan Auditors' solicitation to modify mortgage loans.

C-10-142
7/14/2010

COMMUNITY HOME FINANCIAL SERVICES, INC.

A request for revocation or suspension of license and hearing concerning Community Home Financial Services, Inc.'s failure to file audited financial statements and an annual report of mortgage activity with the Department.

S-10-185
7/14/2010

KEITH R. WINGAD

TAATS and TAATS3

An amended request for a cease and desist order against Keith R. Wingad and two partnerships named TAATS and TAATS3.

C-10-138
7/14/2010

ALLEN MORTGAGE, LLC

A request for revocation or suspension of license and hearing concerning Allen Mortgage, LLC's failure to file annual report of mortgage activity with the Department.

C-10-147
7/14/2010

LENDXFINANCIAL, LLC

A request for revocation or suspension of license and hearing concerning LendxFinancial's failure to file audited financial statements and an annual report of mortgage activity with the Department.

S-10-185
6/15/2010

KEITH R. WINGAD

TAATS and TAATS3

A request for a cease and desist order against Keith R. Wingad and two partnerships named TAATS and TAATS3.

C-10-049
6/2/2010

TOM D. FLORES

A request for a cease and desist order concerning unliscensed mortgage loan activity.

S-09-045
6/2/2010

MARK CHRISTOPHER MADISON

A complaint filed by the Department seeking revocation of broker-dealer agent and investment adivser representative registrations of Mark Christopher Madison.

S-09-068
5/7/2010

P-R-E, LLC d/b/a PHOENIX RENEWABLE ENERGY and STEPHEN R. WALKER

A request for a cease and desist order against P-R-E, LLC d/b/a Phoenix Renewable Energy and Stephen R. Walker for the sale and/or offer of unregistered securities.

C-08-082
1/22/2010

GREENLEAF COMPANIES, LLC

Amended request for a cease and desist order concerning unliscensed mortgage loan activity. To view the order click here.

C-09-063
1/8/2010

DISCOUNT MORTGAGE RELIEF

A request for a cease and desist order concerning unliscensed mortgage loan activity.


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