Order providing a transactional exemption from registration for the proposed offering and sale of capital stock from Jeff Koenic to David McConnell and Ron White pursuant to Ark. Code Ann. § 23-42-504(a)(12).
JUDY J. DUGGAN, AN UNLICENSED MORTGAGE LOAN BROKER
12/27/2006
Order to cease & desist based on evidence presented to the Department to conclude that Judy J. Duggan engaged in unlicensed mortgage loan brokering activities in violation of the Arkansas Fair Mortgage Lending Act and in violation of an order entered by the Commissioner in February of 2006.
MORGAN KEEGAN & COMPANY, INC.
12/14/2006
Order granting exemption from Rule 308.01(F) of the rules of the Arkansas Securities Commissioner in relation to school bonds offered by the school districts as a fiscal agent.
GUS BLASS, II
12/14/2006
Order providing registration pursuant to Ark. Code Ann. § 23-42-504(a)(8).
WAVE ENERGY CORPORATION, A/K/A WAVE ENERGY, INC., JEFFREY SCOTT RAND AND ALL PERSONS EMPLOYED BY OR OTHERWISE AFFILIATED WITH THAT ENTITY OR JEFFREY SCOTT RAND
12/12/2006
Cease & Desist Order based on evidence received by the Department which indicates that Wave Energy, Inc. and Jeffrey Scott Rand have violated the provisions of the Arkansas Securities Act, pursuant to Ark. Code Ann. Section 23-42-101.
CREWS AND ASSOCIATES, INC.
12/11/2006
Order granting exemption from Rule 308.01(F) of the rules oft he Arkansas Securities Commissioner allowing it to bid on the purchase of bonds for school districts while acting as a fiscal agent.
STEPHENS, INC.
12/06/2006
Order granting exemption from rule 308.01(F) of the Rules of the Arkansas Securities Commissioner allowing it to bid on the purchase of bonds for school districts for which it acts as a fiscal agent.
SOUTHWEST ARKANSAS WATER SYSTEM, INC.
11/28/2006
Order providing a transactional exemption from registration on the proposed sale of two bonds pursuant to Ark. Code Ann.§ 23-42-504(a)(12).
NATIONAL CONSUMER MORTGAGE, LLC; SALVATORE FAVATA A/K/A SAM FAVATA; SANDRA FAVATA, PRESIDENT AND ROBERT BRYANT
11/21/2006
Order to Cease & Desist based on evidence in possession of the department that indicates that National Consumer Mortgage, LLC, Salvatore Favata, Sandra L. Favata and Robert O. Bryant have violated provisions of the Arkansas Securities Act, Ark. Code Ann. § 23-42-101.