Orders

The Circuit Court of Pulaski County entered a Consent Judgement against Thomas E. James and TJames Investment Services enjoining James from selling unregistered securities, acting as an unregistered agent, and committing securities fraud.  The Order further barred James from serving as an officer, director, or managing member of any company or limited liability company that offers or sells securities in Arkansas.

Consent order entered in connection with the use of general solicitation and/or advertisement in a Rule 506 offering in violation of Rule 502(c) of Regulation D.

A temporary order of suspension for failure and refusal to cooperate during an onsite examination.

Consent order entered with Ocwen Financial Corporation and Ocwen Loan Servicing, LLC, in connection with the global settlement (13-cv-2025), for allegations of misconduct related to Ocwen Loan Servicing, LLC’s mortgage-servicing practices constituting a violation of the Fair Mortgage Lending Act and the Rules of the Fair Mortgage Lending Act.

Order granting limited investment adviser representative registrations.

Order approving licensure of Seth Tedder Holifield with State Farm Bank, F.S.B.

Consent order entered in connection with a filing violation of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner as a notice filer for covered securities failed to file its Form D with the Department within the required time frame after the first sale in Arkansas.

Consent order entered in connection with a filing violation of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner as a notice filer for covered securities failed to file its Form D with the Department within the required time frame after the first sale in Arkansas.

A cease and desist order entered in connection with unregistered broker-dealer activity and securities fraud committed in violation of the Arkansas Securities Act.