Orders

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.

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.

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.

Consent order entered in connection with unlicensed activities in violation of the Arkansas Securities Act.

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.