Oder approving licensure of Chad Winn with State Farm Bank, F.S.B.
LICENSURE OF HEATHER POWELL WITH STATE FARM BANK, F.S.B.
09/28/2012
Order approving licensure of Heather Powell with State Farm Bank, F.S.B.
LICENSURE OF PAUL JOSEPH WIEGEL WITH STATE FARM BANK, F.S.B.
09/28/2012
Order approving licensure of Paul Joseph Wiegel with State Farm Bank, F.S.B.
LICENSURE OF MICHELLE BALSTAD WITH STATE FARM BANK, F.S.B.
09/28/2012
Order approving licensure of Michelle Balstad with State Farm Bank, F.S.B.
JOHN THOMAS FINANCIAL, INC,
09/25/2012
Consent order entered for violations of the Arkansas Securities Act concerning the failure to properly disclose handling fees.
LARRY P. STIDMAN
09/24/2012
Consent order entered into for violation of the provisions of the Arkansas Securities Act prohibiting the sale of unregistered securities and securities fraud in connection with the offer or sale of securities.
BANKERS LIFE and CASUALTY COMPANY and BLC FINANCIAL SERVICES, INC.
09/18/2012
Consent order entered in connection with Bankers Life and Casualty Company and BLC Financial Services, Inc., for acting as unregistered broker-dealers and investment advisers in Arkansas and for employing unregistered agents, in violation of the Arkansas Securities Act.
THE INCOME FUND, LLC
09/14/2012
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.
TRAIL CREEK CROSSING, LLC
09/14/2012
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.