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.
STEPHANIE MICHELLE STALBAUM
01/12/2010
Consent order entered in connection with violations of the Arkansas Fair Mortgage Lending Act pertaining to a branch manager’s failure to exercise reasonable skill, care, and diligence in supervision of employees.
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
01/08/2010
Consent order entered in connection with Merrill Lynch, Pierce, Fenner & Smith Incorporated in settlement of an investigation into Merrill Lynch’s auction rate securities market activities where Merrill Lynch agreed to buy back auction rate securities from Arkansas investors and pay a fine.
BANKS & ASSOCIATES d/b/a BA CONSULTANTS
01/06/2010
Consent order entered in connection with violations of the Arkansas Fair Mortgage Lending Act pertaining to unlicensed mortgage loan activity.
GRIFFIN FINANCIAL MORTGAGE, LLC ROBERT GRIFFIN, II AND ROSALYN RICHARDS
12/30/2009
Consent order entered in connection with violations of the Arkansas Fair Mortgage Lending Act pertaining to unlicensed mortgage loan activity.