All Orders

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.

Consent order entered in connection with unlicensed currency exchange activity in violation of the Arkansas Money Services Act.

Cease and desist order directing the respondents to stop the offer and sale of unregistered securities in Arkansas and to refrain from committing fraud or deceit in connection with the offer or sale of any securitiy in Arkansas.

Cease and desist order directing the respondents to stop the offer and sale of unregistered securities in Arkansas unless and until the securities are properly registered pursuant to the Arkansas Securities Act, exempt from registration, or a covered security.

Consent order entered in connection with unlicensed mortgage servicer activity in violation of the Arkansas Fair Mortgage Lending Act.

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.

The Circuit Court of Pulaski County entered a Consent Judgement against Thomas E. James and TJames Investment Services enjoining James from selling unregistered securities, acting as an unregistered agent, and committing securities fraud.  The Order further barred James from serving as an officer, director, or managing member of any company or limited liability company that offers or sells securities in Arkansas.

Consent order entered in connection with the use of general solicitation and/or advertisement in a Rule 506 offering in violation of Rule 502(c) of Regulation D.

A temporary order of suspension for failure and refusal to cooperate during an onsite examination.