Consent order entered in connection with a filing violation of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner as a notice filer for covered securities failed to file its Form D with the Department within the required time frame after the first sale in Arkansas.
LICENSURE OF JOHN SCOTT WOOD WITH STATE FARM BANK, F.S.B.
12/23/2014
Order approving licensure of John Scott Wood with State Farm Bank, F.S.B.
TEXAS ENERGY MUTUAL, LLC, BOBBY GILLIAM, STEVE PEREIRA and ANDY STITT
12/23/2014
A consent order issued in connection with violations of the Arkansas Securities Act, specifically the sale of unregistered securities, employing unregistered agents of the issuer and acting as unregistered agents of the issuer.
LEONID YUROVSKY
12/16/2014
A consent order entered in connection with violations of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner.
SALVATORE GIOE
12/09/2014
Consent order entered in connection with violations of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner.
FOUNDATION DB, INC.
12/01/2014
Consent order entered in connection with a filing violation of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner as a notice filer for covered securities failed to file its Form D with the Department within the required time frame after the first sale in Arkansas.
IVOL R. GREEN, ENTERPRISE WORLD TRUST, LLC, GATEKEEPER INVESTMENT GROUP, LLC, JAMES W. STRICKHAUSEN, DAVID E. EVANS and LAMECH KAMUZA
11/25/2014
A cease and desist order issued in connection with the offer and sale of unregistered securities issued by Enterprise World Trust, LLC. The order includes findings of securities fraud, the sale of unregistered securities, acting as an unregistered broker-dealer, acting as an unregistered agent of a broker-dealer, acting as an unregistered agent of an issuer and employment of an unregistered agent. The order sets a hearing on the request of the Staff of the Arkansas Securities Department for fines totaling $100,000 against Ivol R. Green.
RIVERSIDE LEASE, LLC, SCHAFER FINANCIAL SERVICES, SCHAFER FINANCIAL AND TERINA CARNEY aka TERINA HUMPHREY aka TERINA SCHAFER
11/24/2014
Cease and desist order ordering Riverside Lease, LLC, Schafer Financial Services, Schafer Financial and Terina Carney aka Terina Humphrey aka Terina Schafer (“Carney”) to cease all activities in connection with the offer and sale of unregistered securities and for Carney to cease all fraudelent acts.
SWANSON SERVICES CORPORATION
11/12/2014
Consent order entered in connection with unlicensed money transmission activity in violation of the Arkansas Money Services Act.