An order granting Ian French conditional registration as a registered agent and representative for Wunderlich Securities, Inc..
REGISTRATION OF SAMUEL C. TALBERT WITH NMS CAPITAL ASSET MANAGEMENT, INC.
02/29/2012
An order granting Samuel C. Talbert conditional registration as a registered representative of NMS Capital Asset Management, Inc.
IVOL R. GREEN and ENTERPRISE WORLD TRUST, LLC
02/27/2012
A cease and desist order directing Enterprise World Trust, LLC, and Ivol R. Green, Chief Executive Manager, to cease offering and selling investment contracts, a type of security, until properly registered.
REGISTRATION OF THOMAS RANEY WITH ST. BERNARD FINANCIAL SERVICES, INC.
01/30/2012
Order entered granting a limited IA representative registration for Thomas Raney with St. Bernard Financial Services, Inc.
IRONWOOD RECOVERY FUND 2011 QP LLC
01/26/2012
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.
NOSARI HOME MORTGAGE, INC.
01/11/2012
A consent order entered in connection with violations of the Arkansas Fair Mortgage Lending Act.
TREASURY VAULT, LLC
01/06/2012
A consent order entered in connection with unlicensed currency exchange activity in violation of the Arkansas Money Services Act.
PROSPECT MORTGAGE, LLC
12/08/2011
Consent order entered in connection with violations of the Arkansas Fair Mortgage Lending Act.
HERITAGE PACIFIC FINANCIAL, LLC
12/07/2011
A cease and desist order concerning the sale of unregistered securities in violation of the Arkansas Securities Act.