Consent order entered to revoke the broker-dealer agent and investment adviser representative registrations in connection with violations of the Arkansas Securities Act.
LIPSKY & ASSOCIATES, INC. d/b/a EQUITY PLUS
12/29/2016
Consent order entered in connection with unlicensed money transmission activity in violation of the Arkansas Money Services Act.
J. DAVID MCCASKILL
12/27/2016
Order entered approving a limited agent registration.
CHASTAIN FINANCIAL, LLC and CARLA L. CHASTAIN
12/13/2016
Consent order entered in connection with multiple violations of the Arkansas Securities Act concerning fraud and unregistered activity.
FAIR MORTGAGE LENDING ACT AND RULES
11/21/2016
Order prescribing loan officer state law test component requirement under the Fair Mortgage Lending Act.
DAVID STRINGER
11/14/2016
Order granting David Stringer conditional mortgage loan officer license with Union Home Mortgage Corp.
REGENT CUSTOMER CARE, LLC
11/10/2016
Consent order entered in connection with unlicensed money transmission activity in violation of the Arkansas Money Services Act.
VISIONQUEST CAPITAL LLC
11/08/2016
Consent order entered against an issuer of covered securities for a late notice filing with Department.
MADISON FUND VI, LLC
11/07/2016
Consent order entered against an issuer of covered securities for a late notice filing with the Department.