Order granting exemption from Rule 308.01(F) of the rules oft he Arkansas Securities Commissioner allowing it to bid on the purchase of bonds for school districts while acting as a fiscal agent.
STEPHENS, INC.
12/06/2006
Order granting exemption from rule 308.01(F) of the Rules of the Arkansas Securities Commissioner allowing it to bid on the purchase of bonds for school districts for which it acts as a fiscal agent.
SOUTHWEST ARKANSAS WATER SYSTEM, INC.
11/28/2006
Order providing a transactional exemption from registration on the proposed sale of two bonds pursuant to Ark. Code Ann.§ 23-42-504(a)(12).
NATIONAL CONSUMER MORTGAGE, LLC; SALVATORE FAVATA A/K/A SAM FAVATA; SANDRA FAVATA, PRESIDENT AND ROBERT BRYANT
11/21/2006
Order to Cease & Desist based on evidence in possession of the department that indicates that National Consumer Mortgage, LLC, Salvatore Favata, Sandra L. Favata and Robert O. Bryant have violated provisions of the Arkansas Securities Act, Ark. Code Ann. § 23-42-101.
JEFFERSON SURGERY CENTER PLLC
11/13/2006
Order providing a waiver of certain provisions of the exemption pursuant to Ark. Code Ann. § 23-42-504(a)(9) for proposed sales of member interests to surgeons, anesthesiologists or other physicians that meet the qualifications.
A FREEDOM TEAM MORTGAGE COMPANY, INC., A/K/A A~FREEDOM TEAM MORTGAGE COMPANY INC., AND AFTMORTGAGE.NET; BETTY KITCHEN; MARK LEAMON THOMAS; AND TRENT DODDS
09/20/2006
Cease & Desist Order stemming from failure to comply with proper licensing requirements under the FMLA which includes conducting business without a license, falsifying documents, submitting false statements to staff and continuing to conduct mortgage activity after staff advised the company to cease until a license was issued.
THE AVEDIS GROUP, INC.; A FREEDOM TEAM MORTGAGE COMPANY, INC.; A/K/A A~FREEDOM TEAM MORTGAGE COMPANY INC.; AND AFTMORTGAGE.NET; TT AND T, LLC; THOMAS FINANCIAL, LLC; GDC, LLC; MARK LEAMON THOMAS, TRENT DODDS, BETTY KITCHEN, JIM BEACH, TONY CASTEEL, GARY DUPLANTIS AND ALL PERSONS EMPLOYED BY OR OTHERWISE AFFILIATED WITH THOSE ENTITIES OR PERSONS
09/20/2006
Cease & Desist Order based on evidence in the Department’s possession which indicates that the Avedis Group, Inc., A Freedom Team Mortgage Company, Thomas Financial, LLC, Mark Leamon Thomas, Trend Dodds, Betty Kitchen, Jim Beach, Tony Casteel and Gary Duplantis have violated provisions of the Arkansas Securities Act, codified Ark. Code Ann. § 23-42-101.
CLIFFORD WAYNE PITTS, A/K/A CLIFF PITTS, A/K/A C.W. PITTS D/B/A WESTERN ARIZONA RETIREMENT ASSOCIATES AND DONNA K. BISHOP A/K/A DONNA PITTS
09/11/2006
Cease & Desist Order based on the Department’s possession of certain evidence which indicates that Clifford Wayne Pitts and Donna K. Bishop have violated the provisions oft he Arkansas Securities Act, codified at Ark. Code Ann. § 23-42-101.
GUS BLASS, III
09/08/2006
Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(8) as an institutional buyer.