Consent order entered in connection with Morgan Stanley & Co. Incorporated in settlement of an investigation into Morgan Stanley’s auction rate securities market activities where Morgan Stanley agreed to buy back auction rate securities from Arkansas investors and pay a fine.
CITIGROUP GLOBAL MARKETS, INC.
03/19/2010
Consent order entered in connection with Citigroup Global Markets, Inc. in settlement of an investigation into Citigroup’s auction rate securities market activities where Citigroup agreed to buy back auction rate securities from Arkansas investors and pay a fine.
FIRST ARKANSAS FINANCIAL, INC.
03/17/2010
Consent order entered in connection with violations of the Arkansas Fair Mortgage Lending Act pertaining to unlicensed mortgage loan activity.
WACHOVIA SECURITIES, LLC AND WACHOVIA CAPITAL MARKETS, LLC
03/16/2010
Consent order entered in connection with Wachovia Securities, LLC and Wachovia Capital Markets, LLC in settlement of an investigation into Wachovia’s auction rate securities market activities where Wachovia agreed to buy back auction rate securities from Arkansas investors and pay a fine.
BROOKSTONE SECURITIES, INC.
03/15/2010
Consent order entered in connection with violations of the Arkansas Securities Act pertaining to an unregistered branch in Arkansas.
DECISION SCIENCES CORPORATION
03/08/2010
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.
ST. BERNARD FINANCIAL SERVICES, INC.; ROBERT KEENAN; EARL WENIGER; DAVID CRAIN; and MIKE MEADERS
02/17/2010
Consent order entered in connection with violations of the Arkansas Securities Act pertaining to the SEC investment advisory firm’s failure to notice file and failure to register representatives, with an agreement to pay a fine.
BANC OF AMERICA SECURITIES LLC and BANC OF AMERICA INVESTMENT SERVICES, INC.
02/12/2010
Consent order entered in connection with Banc of America Securities LLC and Banc of America Investment Services, Inc. in settlement of an investigation into Banc of America’s auction rate securities market activities where Banc of America agreed to buy back auction rate securities from Arkansas investors and pay a fine.
JPMORGAN CHASE & CO.
02/11/2010
Consent order entered in connection with JPMorgan Chase & Co. (“JPMorgan”) in settlement of an investigation into JPMorgan’s auction rate securities market activities where JPMorgan agreed to buy back auction rate securities from Arkansas investors and pay a fine.