Consent order entered with Ocwen Financial Corporation and Ocwen Loan Servicing, LLC, in connection with the global settlement (13-cv-2025), for allegations of misconduct related to Ocwen Loan Servicing, LLC’s mortgage-servicing practices constituting a violation of the Fair Mortgage Lending Act and the Rules of the Fair Mortgage Lending Act.
REGISTRATION OF LARRY CARTER AND JOE HAYS WITH OLD MAIN ADVISORS, INC.
02/18/2014
Order granting limited investment adviser representative registrations.
LICENSURE OF SETH TEDDER HOLIFIELD WITH STATE FARM BANK, F.S.B.
02/10/2014
Order approving licensure of Seth Tedder Holifield with State Farm Bank, F.S.B.
HFS Arbor Ridge, LP
02/05/2014
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.
RELMADA THERAPEUTICS, INC.
01/22/2014
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.
ROBERT JOSEPH RUPPERT
01/21/2014
A cease and desist order entered in connection with unregistered broker-dealer activity and securities fraud committed in violation of the Arkansas Securities Act.
LICENSURE OF ANTHONY BRANDON OTWELL WITH STATE FARM BANK, F.S.B.
01/21/2014
Order approving licensure of Anthony Brandon Otwell with State Farm Bank, F.S.B.
EL HADJI SAM GUEYE
01/21/2014
A cease and desist order entered in connection with unregistered broker-dealer activity and securities fraud committed in violation of the Arkansas Securities Act.
PowerOne CORPORATION
01/13/2014
A consent order entered in connection with the offer of unregistered securities, a violation of the Arkansas Securities Act.