Consent order entered against a unit investment trust violating Ark. Code Ann. §23-42-509 by failing to file an amendment increasing the amount of securities proposed to be offered in Arkansas until after the sales were made.
Advisors Disciplined Trust 440 (Tactical Income Closed-End Portfolio, Series 10)
04/11/2011
Claymore Securities Defined Portfolios, Series 637 (Global Water Equities Portfolio, Series 17)
04/11/2011
Consent order entered against a unit investment trust violating Ark. Code Ann. § 23-42-509 by failing to file an amendment increasing the amount of securities proposed to be offered in Arkansas until after the sales were made.
Advisors Disciplined Trust 450 (Advisors Corporate Trust – Navellier/Dial High Income Opportunities Portfolio, Series 10)
04/11/2011
Consent order entered against a unit investment trust violating Ark. Code Ann. § 23-42-509 by failing to file an amendment increasing the amount of securities proposed to be offered in Arkansas until after the sales were made.
Advisors Disciplined Trust 444 (Advisors Corporate Trust – Navellier/Dial High Income Opportunities Portfolio, Series 9)
04/11/2011
Consent order entered against a unit investment trust violating Ark. Code Ann. § 23-42-509 by failing to file an amendment increasing the amount of securities proposed to be offered in Arkansas until after the sales were made.
Claymore Securities Defined Portfolios, Series 634 (Closed-End National Municipal Portfolio, Series 16)
04/11/2011
Consent order entered against a unit investment trust violating Ark. Code Ann. § 23-42-509 by failing to file an amendment increasing the amount of securities proposed to be offered in Arkansas unitl after the sales were made.
CONSTANTINE A. DIAVATOPOULOS
04/11/2011
A consent order finding that Constantine A. Diavatopoulos offered and sold securities that were not registered or exempt from registration in violation of Ark. Code Ann. § 23-42-501 and that he unlawfully used the proceeds of the sales of securities in violation of Ark. Code Ann. § 23-42-308(a)(2)(G).
AOS 1-B, LP
04/06/2011
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.
THOMAS C. MATEVIA, P.A. d/b/a LEGAL HOME LOAN SOLUTIONS
04/05/2011
A cease and desist order pertaining to violations of the Arkansas Fair Mortgage Lending Act concerning unlicensed mortgage loan modification activity and the collection of advanced fees by Thomas C. Matevia, P.A.
ODIOWORKS, LLC d/b/a DINARPROFITS.COM
04/05/2011
Cease and desist order directing OdioWorks, LLC d/b/a DinarProfits.com to immediately cease and desist from all currency exchange activity in the State of Arkansas until properly licensed.