Order approving a limited agent registration for Lewis Russell Howard.
P & A MULTI-SECTOR FUND, L.P.
05/18/2012
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.
REGISTRATION OF DAVID S. ECKESS
05/11/2012
An order granting David S. Eckess conditional registrations as an agent and representative.
DAVID S. ECKESS
05/10/2012
A consent order entered in connection with violations of the Arkansas Securities Act.
SERVERGY, INC.
04/27/2012
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.
CLEAR RIVER ENVIRO, LLC
04/24/2012
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.
RAYMOND JAMES & ASSOCIATES, INC., AND RAYMOND JAMES FINANCIAL SERVICES, INC.
04/04/2012
Consent order entered in connection with Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. in settlement of an investigation into the auction rate securities market activities of Raymond James and where Raymond James agreed to buy back auction rate securities from Arkansas investors and pay a fine,
GUARANTY LOAN & REAL ESTATE CO.
04/04/2012
A consent order entered in connection with violations of the Arkansas Fair Mortgage Lending Act.
PRIMARY RESIDENTIAL MORTGAGE, INC.
03/21/2012
A consent order entered in connection with violations of the Arkansas Fair Mortgage Lending Act.