Consent order entered in connection with Banc of America Securities LLC and Banc of America Investment Services, Inc. in settlement of an investigation into Banc of America’s auction rate securities market activities where Banc of America agreed to buy back auction rate securities from Arkansas investors and pay a fine.
BANC OF AMERICA SECURITIES LLC and BANC OF AMERICA INVESTMENT SERVICES, INC.
02/12/2010
JPMORGAN CHASE & CO.
02/11/2010
Consent order entered in connection with JPMorgan Chase & Co. (“JPMorgan”) in settlement of an investigation into JPMorgan’s auction rate securities market activities where JPMorgan agreed to buy back auction rate securities from Arkansas investors and pay a fine.
ARKANSAS FAIR MORTGAGE LENDING ACT, ARK. CODE ANN. § 23-39-506(a)(2)
02/03/2010
Order prescribing the process and form for the annual mortgage activity report.
21 st CENTURY LEGAL SERVICES, INC. AND FIDELITY NATIONAL LEGAL SERVICES, INC.
02/02/2010
The Pulaski County Circuit Court 6th Division grants an order for permanent injunction and fines against Fidelity National Legal Services, Inc.
GREENLEAF COMPANIES, LLC
02/02/2010
Order directing Greenleaf Companies, LLC, to cease and desist from all mortgage loan servicing activity in Arkansas until properly licensed.
ENVISION LENDING GROUP, INC.
02/02/2010
Consent order entered in connection with violations of the Arkansas Fair Mortgage Lending Act pertaining to unlicensed mortgage loan activity.
DISCOUNT MORTGAGE RELIEF
01/26/2010
Consent order entered in connection with violations of the Arkansas Fair Mortgage Lending Act pertaining to unlicensed mortgage loan activity.
WILLIAM C. SOWELL IV
01/19/2010
Consent order entered in connection with violations of the Arkansas Securities Act pertaining to a SEC investment advisory firm’s failure to register a state registered investment adviser representative, a finding of unregistered activity by the representative, and an agreement to pay a fine.
DEUTSCHE BANK SECURITIES INC.
01/13/2010
Consent order entered in connection with Deutsche Bank Securities, Inc. (“DBSI”) in settlement of an investigation into DBSI’s auction rate securities market activities where DBSI agreed to buy back auction rate securities from Arkansas investors and pay a fine.