Consent order entered in connection with sales of unregistered securities in violation of the Arkansas Securities Act.
SHARON BOLLINGER, APPLICANT
11/07/2011
Order approving limited agent registration for Sharon Bollinger with Lutheran Church Extension Fund.
REGISTRATION OF BRIAN GROH WITH J W COLE FINANCIAL, INC.
11/07/2011
Order approving limited registration for Brian Groh as a broker-dealer agent with J.W. Cole Financial, Inc.
BROWN BARK III, L.P.
11/07/2011
Consent order entered concerning unlicensed mortgage servicing activity in violation of the Arkansas Fair Mortgage Lending Act.
TIGER X MEDICAL, INC. f/k/a CARDO MEDICAL, INC.
11/07/2011
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.
NOWA TECHNOLOGY, INC.
10/24/2011
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 sales in Arkansas.
MORGAN ASSET MANAGEMENT, INC. and MORGAN KEEGAN & COMPANY, INC.
10/19/2011
Consent order concerning violations of the Arkansas Securities Act involving unethical and dishonest practices in the securities business and failing to supervise its employees.
RODNEY CALLAWAY, HERITAGE CORNER, LTD., and HERITAGE FUNDING GROUP, INC.
10/05/2011
The Circuit Court of Pulaski County entered an injunction and order of disgorgement against Rodney Callaway, Heritage Funding Group, Inc., and Heritage Corner, Ltd., enjoining the defendants from the sale of unregistered securities and fraudulent activity, and ordering the defendants to pay disgorgement to an Arkansas investor and a fine to the Department.
VANDERBILT MORTGAGE AND FINANCE, INC.
10/04/2011
Consent order entered concerning unlicensed mortgage loan activity in violation of the Arkansas Fair Mortgage Lending Act.