Cease and Desist Order for transacting business as a broker-dealer or agent without being registered and selling unregistered securities.
UNIQUE FINANCIAL CONCEPTS, INC.; STEVEN SILVERSTEIN AND ALL PERSONS IN CONTROL OF, EMPLOYEED BY OR OTHERWISE AFFILIATED WITH THOSE PERSONS OR ENTITIES
11/13/1998
THE ARKANSAS MODEL ACCREDITED INVESTORS EXEMPTION
11/06/1998
Order exempting certain offers and sales of securities solely to accredited investors pursuant to Ark. Code Ann. § 23-42-504(a)(12).
CHRISTIAN INVESTORS FOUNDATION
11/06/1998
Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-503(a)(7).
MOUNTAIN LAND GROUP, LLC.
10/07/1998
Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12)
GLENN MICHAEL FINANCIAL, INC. MAHER TALAT ZAITOUN
10/07/1998
Cease and Desist Order for transacting business as a broker-dealer or agent without being registered.
COUNTRY CLUB RESORTS, INC.
10/06/1998
Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12).
WELS CHURCH EXTENSION FUND, INC.
10/02/1998
Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-503(a)(7).
FENMORE INTERNATIONAL, LTD., LIBERTY FINANCIAL PRODUCERS, LTD.; ANWAR HEIDARY, ROBERT POVEY, JERRY VOSSELMAN, RAYMOND E. MOORE
09/30/1998
Cease and Desist Order for sale of unregistered securities, for acting as a broker-dealer and agent without being registered.
FAMILY CAPITAL HOLDINGS, INC.; GERALD W. JONES, JOSEPH C. DAVID, JR. AND RON LEDFORD
09/25/1998
Cease and Desist Order for sale of unregistered securities.