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.
MALAUZAI SOFTWARE, INC.
03/28/2014
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.
D TRADE, INC.
03/28/2014
Consent order entered in connection with unlicensed currency exchange activity in violation of the Arkansas Money Services Act.
JEREMIAH CUMMINGS, FOR HIS GLORY INTERNATIONAL RECORDS, and DePHIL INTERNATIONAL RECORDS
03/27/2014
Cease and desist order directing the respondents to stop the offer and sale of unregistered securities in Arkansas and to refrain from committing fraud or deceit in connection with the offer or sale of any securitiy in Arkansas.
A.J.S., LLC and JOHN SCOTT VISE
03/27/2014
Cease and desist order directing the respondents to stop the offer and sale of unregistered securities in Arkansas unless and until the securities are properly registered pursuant to the Arkansas Securities Act, exempt from registration, or a covered security.
ASSET MANAGMENT HOLDINGS, LLC
03/18/2014
Consent order entered in connection with unlicensed mortgage servicer activity in violation of the Arkansas Fair Mortgage Lending Act.
INFLATION HEDGED ASSETS, LLC
03/13/2014
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.
VISION TECHNOLOGIES, INC.
03/11/2014
Consent order entered in connection with the use of general solicitation and/or advertisement in a Rule 506 offering in violation of Rule 502(c) of Regulation D.
WILLIAM DAVID CRAIN
02/28/2014
A temporary order of suspension for failure and refusal to cooperate during an onsite examination.