Orders

Order approving limited agent registration for Rachel Einfeldt with National Covenant Properties.

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.

Consent order entered in connection with violations of the Arkansas Fair Mortgage Lending Act pertaining to unlicensed mortgage loan officer activity.

A consent order in which the respondent is found to have sold unregistered securities and acted as an unregistered agent of the issuer. The respondent, Michael Hart Hornibrook, is ordered to cease and desist from such activities until and unless the securities are registered or exempt from registration and he is registered or exempt from registration. In an undertaking that is part of the order Hornibrook agrees not to seek registration as an agent of the issuer or the agent of a broker-dealer for a period of two (2) years from the date of the order unless his employer agrees to on-site, heightened supervision.

Consent order entered in connection with unlicensed money services activity in violation of the Arkansas Money Services Act.

Consent order entered in connection with UBS Securities, LLC and UBS Financial Services, Inc. in settlement of an investigation into the auction rate securities market activities of UBS and where UBS agreed to buy back auction rate securities from Arkansas investors and pay a fine.

A consent order finding that Rex Robertson offered or sold unregistered securities while acting as an unregistered agent of the issuer and ordering Robertson to cease and desist from all such activities unless and until he is properly registered as an agent of the issuer and the securities being offered or sold are properly registered or exempt from registration.

The Pulaski County Circuit  Court 6th Division granted an order enjoining Phoenix Performance Enhancement Group and Larry Wayne Ziegler from sales of unregistered securities and fraudulent activity; and ordered Defendants pay restitution to the Arkansas investor and a fine to the Department.

Consent order entered in connection with Community Home Financial Services, Inc. late filing of an annual financial statement with the Department.