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.
GOLDMAN, SACHS & CO.,
12/28/2010
Consent order entered in connection with Goldman, Sachs & Co., in settlement of an investigation into the auction rate securities market activities of Goldman Sachs and where Goldman Sachs agreed to buy back auction rate securities from Arkansas investors and pay a fine.
CAREVIEW COMMUNICATIONS, INC.
12/22/2010
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.
RACHEL EINFELDT
12/17/2010
Order approving limited agent registration for Rachel Einfeldt with National Covenant Properties.
CROWN EXPLORATION, LTD.
12/06/2010
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.
UNITED-BILT HOMES, L.L.C.
12/06/2010
Consent order entered in connection with violations of the Arkansas Fair Mortgage Lending Act pertaining to unlicensed mortgage loan officer activity.
MICHAEL HART HORNIBROOK
11/23/2010
A consent order in which the respondent is found to have sold unregistered securities and acted as an unregistered agent of the issuer. The respondent, Michael Hart Hornibrook, is ordered to cease and desist from such activities until and unless the securities are registered or exempt from registration and he is registered or exempt from registration. In an undertaking that is part of the order Hornibrook agrees not to seek registration as an agent of the issuer or the agent of a broker-dealer for a period of two (2) years from the date of the order unless his employer agrees to on-site, heightened supervision.
BUDGET PREPAY, INC.
11/16/2010
Consent order entered in connection with unlicensed money services activity in violation of the Arkansas Money Services Act.
UBS SECURITIES, LLC and UBS FINANCIAL SERVICES, INC.
11/16/2010
Consent order entered in connection with UBS Securities, LLC and UBS Financial Services, Inc. in settlement of an investigation into the auction rate securities market activities of UBS and where UBS agreed to buy back auction rate securities from Arkansas investors and pay a fine.