Order approving licensure of Jonathan Hooks with State Farm Bank, F.S.B.
DAS ACQUISITION COMPANY, LLC
01/02/2013
A consent order in connection with violations of the Arkansas Fair Mortgage Lending Act.
LICENSURE OF CEDRIC WILLIAMS WITH STATE FARM BANK, F.S.B.
12/20/2012
Order approving licensure of Cedric Williams with State Farm Bank, F.S.B.
CHAD DEAN HARTSFIELD
12/19/2012
Consent order entered with Chad Dean Hartsfield for transacting business in Arkansas as an agent of an issuer without being registered under the Arkansas Securities Act, in violation of the Act and the Rules of the Arkansas Securities Commissioner.
UNITED STATES OIL & GAS CORP., OMAR LEON PLUMMER (CRD# 2967570), & ALEXANDER WILLIAM TAWSE
12/19/2012
Cease and desist order directing the respondents to stop the offer and sale of securities in Arkansas and to refrain from further activity in violation of the Arkansas Securities Act and the Rules of the Arkansas Securities Commissioner.
UVEST FINANCIAL SERVICES GROUP, INC.
12/13/2012
Consent order entered with UVEST Financial Services Group, Inc., in connection with the Bankers Life and Casualty Company and BLC Financial Services, Inc. global settlement (Order No S-12-0134-12-OR01), for engaging in dishonest or unethical practices in the securities business by materially aiding an act, practice, or course of business constituting a violation of the Arkansas Securities Act and the Rules of the Arkansas Securities Commissioner.
DUNWELL CORPORATION, and PRESTON ENERGY, INC.
12/13/2012
Cease and desist order ordering the respondents to cease the offer and sale of securities until and unless they are registered or exempt from registration.
BRADEN S. HILL (CRD #2796421)
12/12/2012
Consent order for revocation of broker-dealer agent and investment adviser representative registration for violations of the Arkansas Securities Act and the Rules of the Arkansas Securities Commissioner.
JADE ASSET ADVISORS, WALTER A. “CHIP” TYE, AND ELIZABETH LITTLETON
12/04/2012
Cease and desist order directing parties to stop transacting business in Arkansas as an investment adviser or representatives without being registered or committing fraud or deceit in violation of the Arkansas Securities Act.