Order providing waiver of certain provisions of the exemption pursuant to Ark. Code Ann. § 23-42-503(b).
SAM CLEMENTE SECURITIES, INC., COOKE BAILLE CHRISTOPHER, THOMAS H. SUNDERLAND, DAVID ALLEN MULLENAX, AND ROBERT MABRY MULLENAX D/B/A MULLENAX FINANCIAL GROUP
10/06/1999
Summary Order suspending registration.
CHEMICAL TRUST AND ITS TRUSTEES, PRINCIPALS, OFFICERS, AGENTS AND AFFILIATES, INCLUDING, BUT NOT LIMITED TO, LEWEY L. CATO, III; AND, UNITED MARKETING TRUST AND ITS TRUSTEES, PRINCIPALS, OFFICERS, AGENTS AND AFFILIATES, INCLUDING, BUT NOT LIMITED TO, CLIFTON WILKINSON; AND UNITED STATES GUARANTEE CORPORATION AND ITS PRINCIPALS, OFFICERS, AGENTS AND AFFILIATES, INCLUDING, BUT NOT LIMITED TO ALVIN A. TANG
10/01/1999
Cease and Desist Order.
EUGENE FORSYTH D/B/A FORSYTH RESEARCH AND DEVELOPMENT CENTER
09/22/1999
Cease and Desist Order pursuant to Ark. Code Ann. § 23-42-209.
NATION’S EXPRESS, INC.
09/08/1999
Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12).
ARGENT SECURITIES, INC. TIMOTHY WAYNE MCAGEE; AND ERIC T. GELFAND
09/07/1999
Consent Order. No registration of Gelfand in Arkansas in any capacity in the securities industry will ever be effected in Arkansas.
MARK A. LEE
09/07/1999
Order excluding individual from investment adviser definition pursuant Ark. Code Ann. § 23-42-102(8)(F).