Consent order entered in connection with Bankers Life and Casualty Company and BLC Financial Services, Inc., for acting as unregistered broker-dealers and investment advisers in Arkansas and for employing unregistered agents, in violation of the Arkansas Securities Act.
THE INCOME FUND, LLC
09/14/2012
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.
TRAIL CREEK CROSSING, LLC
09/14/2012
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.
KEITH H. FREEMAN
09/04/2012
Consent order for permanent revocation of broker-dealer agent registration for violations of the Arkansas Securities Act.
CARR MILLER CAPITAL, LLC; CAPITAL MARKETS ADVISORY, LLC, f/k/a CARR MILLER CAPITAL INVESTMENTS, LLC; EVERTT CHARLES FORD MILLER; and BRIAN PATRICK CARR
08/30/2012
Final Order affirming Cease and Desist Order as to all parties; revoking investment adviser registration of Carr Miller Capital Investments, LLC; and fining Carr Miller Capital Investments, LLC, for violations of the Arkansas Securities Act.
EKN FINANCIAL SERVICES, INC.
08/27/2012
A consent order entered in connection with violations of the Arkansas Securities Act.
CHARLOTTE JEROME KAISER
08/22/2012
Order approving a limited agent registration for Charlotte Jerome Kaiser.
6717381 CANADA INC. D/B/A SOLIDTRUST PAY
08/16/2012
Consent order entered in connection with unlicensed money transmission activity in violation of the Arkansas Money Services Act.
EAGLE MORTGAGE & FUNDING, LLC
08/16/2012
Failure to timely file the quarterly Mortgage Call Report