Consent order entered for violations of the Arkansas Securities Act concerning the failure to properly disclose handling fees.
LARRY P. STIDMAN
09/24/2012
Consent order entered into for violation of the provisions of the Arkansas Securities Act prohibiting the sale of unregistered securities and securities fraud in connection with the offer or sale of securities.
BANKERS LIFE and CASUALTY COMPANY and BLC FINANCIAL SERVICES, INC.
09/18/2012
Consent order entered in connection with Bankers Life and Casualty Company and BLC Financial Services, Inc., for acting as unregistered broker-dealers and investment advisers in Arkansas and for employing unregistered agents, in violation of the Arkansas Securities Act.
THE INCOME FUND, LLC
09/14/2012
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.
TRAIL CREEK CROSSING, LLC
09/14/2012
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.
KEITH H. FREEMAN
09/04/2012
Consent order for permanent revocation of broker-dealer agent registration for violations of the Arkansas Securities Act.
CARR MILLER CAPITAL, LLC; CAPITAL MARKETS ADVISORY, LLC, f/k/a CARR MILLER CAPITAL INVESTMENTS, LLC; EVERTT CHARLES FORD MILLER; and BRIAN PATRICK CARR
08/30/2012
Final Order affirming Cease and Desist Order as to all parties; revoking investment adviser registration of Carr Miller Capital Investments, LLC; and fining Carr Miller Capital Investments, LLC, for violations of the Arkansas Securities Act.
EKN FINANCIAL SERVICES, INC.
08/27/2012
A consent order entered in connection with violations of the Arkansas Securities Act.
CHARLOTTE JEROME KAISER
08/22/2012
Order approving a limited agent registration for Charlotte Jerome Kaiser.