Order approving licensure of Alex Baldwin with State Farm Bank, F.S.B.
J.D. NICHOLAS & ASSOCIATES, INC. f/k/a A&F FINANCIAL SECURITIES, INC. and GREGORY THOMAS DEAN
02/27/2013
A consent order entered for failing to comply with federal telemarketing and National Do Not Call Registry restrictions, failing to enforce a system to supervise the activities of broker-dealer agents, and charging customers undisclosed fees, in violation of the Arkansas Securities Act and the Rules of the Arkansas Securities Commissioner.
BREITLING OIL and GAS CORPORATION
02/26/2013
Consent order entered in connection with a filing violation of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner as 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.
R.D. MEYERS DEVELOPMENT, INC. and RODNEY MEYERS
02/25/2013
Cease and desist order directing the respondents to stop the offer and sale of unregistered securities in Arkansas and to refrain from committing fraud or deceit in connection with the offer or sale of any security in Arkansas.
MONEY IN THE BANK, INC., SUN VEST, LLC, and JAMES B. BANNING
02/21/2013
Cease and desist order entered in connection with the sale of unregistered securities through the use of misleading statements.
P-R-E, LLC d/b/a PHOENIX RENEWABLE ENERGY, STEPHEN R. WALKER, and SAMUEL L. ANDERSON, JR.
02/21/2013
The Circuit Court of Pulaski County entered an Order of Restitution against P-R-E, LLC and Samuel L. Anderson, Jr. ordering the defendants to pay restitution to Arkansas investors and a fine to the Department.
P-R-E, LLC d/b/a PHOENIX RENEWABLE ENERGY, STEPHEN R. WALKER, and SAMUEL L. ANDERSON, JR.
02/21/2013
The Circuit Court of Pulaski County entered a Consent Judgement against Stephen R. Walker enjoining him from the sale of unregistered securities and fraudulent activity; barring him from serving as an officer, director, or managing member of any company or limited liability company in Arkansas; and ordering him to pay a fine to the Department.
LICENSURE OF SHAWN CHAFIN WITH STATE FARM BANK, F.S.B.
02/19/2013
Order approving licensure of Shawn Chafin with State Farm Bank, F.S.B.
MICHEAL D. MUNSON
02/14/2013
Consent order entered revoking registration as a broker-dealer agent for violations of the Arkansas Securities Act and the Rules of the Arkansas Securities Commissioner.