The Pulaski County Circuit Court issued an Order of Instructions for Receiver in accordance with a settlement agreement between the parties and simultaneously with the Permanent Injunction and Order of Disgorgement.
CLEAN TECHNOLOGY INTERNATIONAL CORPORATION
11/08/2010
The Pulaski County Circuit Court issued a Permanent Injunction and Order of Disgorgement in accordance with a settlement agreement between the parties. The court’s order was directed at the Lainhart Group, defined as the following defendants: Wm. Darrell Lainhart (D.Lainhart), Irene M. Lainhart, Diamond Capital Corporation and two trusts controlled by the Lainharts.
COKER & PALMER
11/04/2010
Consent order entered in connection with unlicensed activities in violation of the Arkansas Securities Act.
CARR MILLER CAPITAL, LLC; CAPITAL MARKETS ADVISORY, LLC, f/k/a CARR MILLER CAPITAL INVESTMENTS, LLC; EVERETT CHARLES FORD MILLER; and BRIAN PATRICK CARR
11/01/2010
A cease and desist order finding that Carr Miller Capital, LLC (CMC), and Everett Charles Ford Miller violated the Arkansas Securities Act by offering and selling unregistered securities and Capital Markets Advisory, LLC, and Brian Patrick Carr violated the Arkansas Securities Act by acting as an unregistered broker-dealer and selling CMC’s unregistered securities for a commission. All respondents are ordered to cease and desist all such activities in the state unless and until all securities and persons offering and selling the securities are properly registered or exempt from registration.
OIL2 HOLDINGS, INC.
10/26/2010
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.
STIFEL, NICOLAUS & COMPANY, INC.
10/19/2010
Consent order entered in connection with Stifel, Nicolaus & Company, Inc. in settlement of an investigation into Stifel’s auction rate securities market activities where Stifel agreed to buy back auction rate securities from Arkansas investors and pay a fine.
BRYANT INVESTMENT COMPANY
10/12/2010
Consent order resolving sale of unregistered securities violations.
AMERICAN EXPRESS PREPAID CARD MANAGEMENT CORPORATION
10/08/2010
Consent order entered in connection with unlicensed money services activity in violation of the Arkansas Money Services Act.
EXPERT FINANCIAL SERVICES, INC. AND RICK WHITE, SR.
09/23/2010
Order directing Expert Financial Services, Inc. and Rick White, Sr. to immediately cease and desist from all mortgage loan activity in Arkansas until properly licensed.