Consent order entered in connection with Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. in settlement of an investigation into the auction rate securities market activities of Raymond James and where Raymond James agreed to buy back auction rate securities from Arkansas investors and pay a fine,
RAYMOND JAMES & ASSOCIATES, INC., AND RAYMOND JAMES FINANCIAL SERVICES, INC.
04/04/2012
GUARANTY LOAN & REAL ESTATE CO.
04/04/2012
A consent order entered in connection with violations of the Arkansas Fair Mortgage Lending Act.
UNITED STATES OF AMERICA, et al., BANK OF AMERICA CORP., et al.
04/04/2012
The United States District Court for the District of Columbia enters a multi-state consent judgement for violations of the Fair Mortgage Lending Act.
PRIMARY RESIDENTIAL MORTGAGE, INC.
03/21/2012
A consent order entered in connection with violations of the Arkansas Fair Mortgage Lending Act.
URBAN FINANCIAL GROUP, INC.
03/15/2012
A consent order entered in connection with violations of the Arkansas Fair Mortgage Lending Act.
REGISTRATION OF IAN FRENCH WITH WUNDERLICH SECURITIES, INC.
03/14/2012
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.