An order approving a conditional registration of Stuart Epley as a broker-dealer agent with IFS Securities.
CHRISTOPHER COLLIER
07/10/2012
Order revoking registrations and fining former agent and representative of Stanford Group Company.
RT MIKKELSEN ADVISORS AND ROBERT MIKKELSEN
06/11/2012
A consent order entered in connection with violations of the Arkansas Securities Act.
THOMAS S. RUSSELL
05/31/2012
Order approving a limited agent registration for Thomas S. Russell.
OPEN MORTGAGE, LLC
05/22/2012
Consent order entered in connection with violations of the Arkansas Fair Mortgage Lending Act.
LEWIS RUSSELL HOWARD
05/21/2012
Order approving a limited agent registration for Lewis Russell Howard.
P & A MULTI-SECTOR FUND, L.P.
05/18/2012
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.
REGISTRATION OF DAVID S. ECKESS
05/11/2012
An order granting David S. Eckess conditional registrations as an agent and representative.
DAVID S. ECKESS
05/10/2012
A consent order entered in connection with violations of the Arkansas Securities Act.