Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(8).
U. S. MORTGAGE, INC.
09/04/1998
Cease and Desist Order issued pursuant to Ark. Code Ann. § 23-39-202(b)(1).
STEPHENS INVESTMENT PARTNERS III, LLC.
08/28/1998
Order providing a waiver of the number of purchasers pursuant to Ark. Code Ann. § 23-42-504(a)(9)(B).
DUNN INSURANCE AGENCY, INC. CITIZENS BANK AND TRUST WESTERN BANCSHARES, INC.
08/21/1998
Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12).
J.P. TURNER & COMPANY, LLC., STEPHEN CARCATERRA, AND ALL PERSONS EMPLOYED BY OR OTHERWISE AFFILIATED WITH THE RESPONDENTS WHOSE IDENTITY IS UNKNOWN
08/13/1998
Amended Cease and Desist Order for transacting business as a broker-dealer or agent without being registered.
GULF POWER COMPANY
07/16/1998
Order extending exemption period of certain securities pursuant to Ark. Code Ann. § 23-42-503(a)(5).
PROGRESSIVE NATIONAL MORTGAGE COMPANY, LLC.
06/26/1998
Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12).
ARKANSAS WOMEN’S HEALTH CENTER, INC.
06/15/1998
Order providing a transactional exemption pursuant to Ark. Code Ann. § 23-42-504(a)(12).
MASTERS FINANCIAL GROUP, INC.
06/02/1998
Summary Order suspending registration pursuant to Ark. Code Ann. § 23-42-308(c)(1) and Rule 601.07(B).