Order entered in connection with violations of the Arkansas Securities Act and Rules of the Arkansas Securities Department.
IVOL R. GREEN, ENTERPRISE WORLD TRUST, LLC, GATEKEEPER INVESTMENT GROUP, LLC, JAMES W. STRICKHAUSEN, DAVID E. EVANS and LAMECH KAMUZA
03/18/2015
A cease and desist order issued in connection with the offer and sale of unregistered securities issued by Enterprise World Trust, LLC. The order includes findings of securities fraud, the sale of unregistered securities, acting as an unregistered broker-dealer, acting as an unregistered agent of a broker-dealer, acting as an unregistered agent of the issuer and employment of an unregistered agent. This order replaces an order issued in the same case on November 25, 2014.
ARKANSAS CAMA TECHNOLOGY, INC., THOMAS ROBIE SCOTT, III and AUDREY GALE SCOTT, TRUSTEES OF THE TOM AND GALE SCOTT REVOCABLE TRUST, RICHARD A. CARN and PHILLIP R. SCOTT
03/12/2015
Order providing a transactional exemption from registration pursuant to Ark. Code Ann § 23-42-(504)(a)(12).
ALEXANDER BRETT KOGAN
03/10/2015
A consent order entered in connection with violations of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner.
LICENSURE OF BRIAN ALAN WEATHERFORD WITH STATE FARM BANK, F.S.B.
03/09/2015
Order approving licensure of Brian Alan Weatherford with State Farm Bank, F.S.B.
ST. BERNARD FINANCIAL SERVICES, INC.; and ROBERT KEENAN, JR.
03/04/2015
Consent order entered fining St. Bernard Financial Services, Inc. $25,000.00 for violations of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner.
FNC INSURANCE AGENCY, INC.
01/05/2015
An order approving licensure under the Money Services Act and outlining a settlement agreement for violations of same.
DENVER ENERGY EXPLORATION, LLC
01/05/2015
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.
LICENSURE OF JOHN SCOTT WOOD WITH STATE FARM BANK, F.S.B.
12/23/2014
Order approving licensure of John Scott Wood with State Farm Bank, F.S.B.