Consent order entered revoking the registration of Junmo Hong as a broker-dealer agent for violations of the Arkansas Securities Act and the Rules of the Arkansas Securities Commissioner.
GT SECURITIES, INC.
08/27/2013
Consent order entered in connection with a violation of the Arkansas Securities Act.
STEPHENS INC.
08/22/2013
Consent order entered in connection with violations of the Arkansas Securities Act.
LaeRoc 2005-2006 INCOME FUND, L.P.
08/20/2013
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.
DAVID ALAN MULLENAX
08/16/2013
Consent order entered into with David Alan Mullenax in connection with Mullenax’s recommendations while acting as an investment adviser representative and broker-dealer agent to purchase and hold certain non-traditional exchange traded funds (EFTs) for more than the one-day period for which they were designed. The order includes findings that the recommendations were unsuitable and in violation of Rules 308.01(d) and 308.02(a), Rules of the Arkansas Securities Commissioner, and Ark. Code Ann. § 23-42-308(a)(2)(G).
STONEY RIDGE RANCH, L.P.
08/02/2013
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.
DUNWELL CORPORATION
07/22/2013
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.
LICENSURE OF KEITH DOUGLAS BROOKS WITH STATE FARM BANK, F.S.B.
07/17/2013
Order approving licensure of Keith Douglas Brooks with State Farm Bank, F.S.B.
NICK LYNN TECHNOLOGIES, INC., LENDELL EARL HILLHOUSE, SR., AND JAMES ROBIN PACE
07/17/2013
The Circuit Court of Benton County renders judgment against Nick Lynn Technologies, Inc.; Lendell Earl Hillhouse, Sr., President and James Robin Pace, Secretary, finding that all defendants sold unregistered securities and securities fraud. All three defendants are permanently enjoined from engaging in the sale of securities and ordered to pay restitution of $55,000 to one victim and $15,000.