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.
BENJAMIN PAUL MOORE
12/12/2013
Consent order entered in connection with violation of Rule 308.01(o), Rules of the Arkansas Securities Commissioner.
SAMUEL C. TALBERT
12/02/2013
An order granting Samuel C. Talbert conditional registration as a registered representative of Longhorn Capital Management, LLC.
JUDY J. HOOVER-DUGGAN
11/21/2013
Cease and desist order entered in connection with unlicensed loan officer activity in violation of the Arkansas Fair Mortgage Lending Act.
WIDE BLUE SKY, INC. D/B/A LINCOLN MORTGAGE, INC.
11/18/2013
Consent order entered in connection with unlicensed mortgage loan officer activity in violation of the Arkansas Fair Mortgage Lending Act.
FARLAND PROJECT
11/18/2013
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.
KEVIN MCNAY
11/18/2013
Consent order entered in connection with registration violations of the Arkansas Securities Act and the Rules of the Arkansas Securities Commissioner and affirming, as to Kevin McNay, cease and desist order No. S-12-0015-13-OR02 directing the parties to stop the offer and sale of securities in Arkansas in violation of the Act.
FWCG OPPORTUNITY FUND, L.P.
11/18/2013
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.
UBS FINANCIAL SERVICES, INC.
11/14/2013
Consent order entered in connection with violations of the Arkansas Securities Act.