Consent order for permanent revocation of broker-dealer agent registration for violations of the Arkansas Securities Act.
CARR MILLER CAPITAL, LLC; CAPITAL MARKETS ADVISORY, LLC, f/k/a CARR MILLER CAPITAL INVESTMENTS, LLC; EVERTT CHARLES FORD MILLER; and BRIAN PATRICK CARR
08/30/2012
Final Order affirming Cease and Desist Order as to all parties; revoking investment adviser registration of Carr Miller Capital Investments, LLC; and fining Carr Miller Capital Investments, LLC, for violations of the Arkansas Securities Act.
EKN FINANCIAL SERVICES, INC.
08/27/2012
A consent order entered in connection with violations of the Arkansas Securities Act.
CHARLOTTE JEROME KAISER
08/22/2012
Order approving a limited agent registration for Charlotte Jerome Kaiser.
6717381 CANADA INC. D/B/A SOLIDTRUST PAY
08/16/2012
Consent order entered in connection with unlicensed money transmission activity in violation of the Arkansas Money Services Act.
EAGLE MORTGAGE & FUNDING, LLC
08/16/2012
Failure to timely file the quarterly Mortgage Call Report
MICHAEL WHITE and WHITE INVESTMENT MANAGEMENT
08/14/2012
Consent order entered denying application for registration as investment adviser under the Arkansas Securities Act.
WALLACE J. LITTRELL, JR., TO LOVE GOD, LLC d/b/a POP-N-SHOTS, and THE LITTRELL GROUP
08/06/2012
Cease and desist order entered in connection with the sale of unregistered securities through the use of misstatements and omissions, as well as the misuse of investor’s funds by Littrell.
CONESTOGA SETTLEMENT TRUST
08/02/2012
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.