A consent order entered in connection with unlicensed currency exchange activity in violation of the Arkansas Money Services Act.
PROSPECT MORTGAGE, LLC
12/08/2011
Consent order entered in connection with violations of the Arkansas Fair Mortgage Lending Act.
HERITAGE PACIFIC FINANCIAL, LLC
12/07/2011
A cease and desist order concerning the sale of unregistered securities in violation of the Arkansas Securities Act.
LEWIS & CLARK OUTDOORS, INC.
11/14/2011
Consent order entered in connection with sales of unregistered securities in violation of the Arkansas Securities Act.
SHARON BOLLINGER, APPLICANT
11/07/2011
Order approving limited agent registration for Sharon Bollinger with Lutheran Church Extension Fund.
REGISTRATION OF BRIAN GROH WITH J W COLE FINANCIAL, INC.
11/07/2011
Order approving limited registration for Brian Groh as a broker-dealer agent with J.W. Cole Financial, Inc.
BROWN BARK III, L.P.
11/07/2011
Consent order entered concerning unlicensed mortgage servicing activity in violation of the Arkansas Fair Mortgage Lending Act.
TIGER X MEDICAL, INC. f/k/a CARDO MEDICAL, INC.
11/07/2011
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.
NOWA TECHNOLOGY, INC.
10/24/2011
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 sales in Arkansas.