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.
BLUE MOUNTAIN CASIS CA L.P. and BLUE MOUNTAIN CREDIT ALTERNATIVES FUND L.P.
03/25/2016
CHASTAIN FINANCIAL, LLC AND CARLA L. CHASTAIN
03/16/2016
A cease and desist order directing the Respondents to refrain from engaging in investment adviser or broker-dealer related activity and, to immediately cease and desist from committing fraud or deceit in connection with the offer or sale of any securities in Arkansas.
JONATHAN EDWARD RAGO
03/16/2016
Summary order suspending registration entered in connection with violations of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner.
LICENSURE OF JORDAN KEITH SMITHSON WITH STATE FARM BANK, F.S.B.
03/04/2016
Order approving licensure of Jordan Keith Smithson with State Farm Bank, F.S.B.
IBERIABANK MORTGAGE COMPANY
02/26/2016
Consent order entered in connection with violations of the Arkansas Fair Mortgage Lending Act regarding unlicensed mortgage servicer activity.
MILESTONE INSURANCE SERVICES, LLC
02/23/2016
A consent order entered for violation of the Rules of the Arkansas Securities Commissioner concerning the failure to disclose outside business activity.
BUSINESS DEVELOPMENT CORPORATION OF AMERICA
02/23/2016
A consent order concerning violating the Arkansas Securities Act during a dividend reinvestment program.
LICENSURE OF DAVID MATTHEW PEGG WITH STATE FARM BANK, F.S.B.
02/12/2016
Order approving licensure of David Matthew Pegg with State Farm Bank, F.S.B.
LICENSURE OF DEREK BELL WITH STATE FARM BANK, F.S.B.
02/01/2016
Order approving licensure of Derek Bell with State Farm Bank, F.S.B.