Order providing a waiver of certain provisions of the exemption pursuant to Ark. Code Ann. §23-42-504(a)(9) for the proposed sale of member interests in Jefferson Surgery Center PLLC to certain qualified individuals.
DEUTSCHE BANK SECURITIES, INC.
06/23/2005
Consent Order regarding the issue of Deutsche Bank failing to reasonably supervise research analysts’ activities and to establish procedures to guard against improper conduct.
TOMMY RUFF, CARLA CHASTAIN, FIRST FINANCIAL ADVISORS, INC., AND FIRST FINANCIAL BROKERAGE SERVICES, INC.
05/25/2005
Consent Order pursuant to Ark. Code Ann. § 23-42-101 in full settlement of all claims that could be brought against Tommy Lee Ruff, Carla Lea Chastain, and First Financial Brokerage Services, Inc. by the Department.
FORTRESS FOUNDATION, INC., LEROY HOBACK, O. BRUCE MIKELL, G. T. FUNDS, INC., RAYMOND M. STREIG, WILLIAM E. SCHWERDTFEGER, GLORIA N. STREIG, RA’ NIC STREIG SCHWERDTFEGER AND ALL PERSONS EMPLOYED BY OR OTHERWISE AFFILIATED WITH THOSE ENTITIES OR THOSE PERSONS
03/18/2005
Cease & Desist Order based on evidence received by the Department which indicates that Fortress Foundation, Inc., Leroy Hoback, O. Bruce Mikell, G.T. Funds, Inc., Raymond M. Streig, William Schwerdtfeger, Gloria N. Streig, Ra’nic Streig Schwerdtfeger violated provisions of the Arkansas Securities Act, codified at Ark. Code Ann. § 23-42-101.
FIRST AMERICAN MORTGAGE SECURITIES OF ARKANSAS, INC. CAVE SPRINGS, AR
03/11/2005
Cease & Desist Order and Revocation of a mortgage broker license base on evidence presented to the commissioner showing that First American Mortgage Securities of Arkansas, Inc. failed to comply with the provisions of the Fair Mortgage Lending Act, Ark. Code Ann. § 23-39-501.
DAVIS SOUTH FARMS, INC
02/24/2005
Order providing a transactional exemption from registration for the proposed offering and sale of capital stock of David South Farms, Inc. to Drew Davis pursuant to Ark. Code Ann. § 23-42-504(a)(12).
SHIRLENA L. WRIGHT
02/11/2005
Consent Order entered pursuant to the provisions of FMLA, Ark. Code Ann. § 23-39-501 based on findings that Shirlena L. Wright materially misstated her responses to her application for a loan officer license.
HSA ENGINEERING CONSULTING SERVICES, INC.
01/28/2005
Order providing a transactional exemption from registration on a proposed offering and sale of common stock of HSA Engineering Consulting Services, Inc. to Robert P. May pursuant to Ark. Code Ann. § 23-42-504(a)(12).
OUACHITA REGIONAL DIAGNOSTIC & SURGERY CENTER, INC.
01/14/2005
Order providing a waiver of certain provisions of the exemption pursuant to Ark. Code Ann. § 23-42-504(a)(9) on the proposed sale of common stock in Ouachita Regional Diagnostic & Surgery Center, Inc. d/b/a HealthPark Hospital to certain qualified investors.