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.
WELLS FARGO INVESTMENTS, LLC
09/23/2010
Consent order in connection with Wells Fargo Investments, LLC in settlement of an investigation into Wells Fargo’s auction rate securities market activities where Wells Fargo agreed to buy back auction rate securities from Arkansas investors and pay a fine.
SLC CAPITAL PARTNERS, L.P.
09/17/2010
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.
SOLUTION SOURCE, LLC
09/13/2010
Consent order entered in connection with violations of the Arkansas Fair Mortgage Lending Act pertaining to unlicensed mortgage loan activity.
HENRY LAND & TIMBER, LLC
09/10/2010
Order waiving certain conditions under Ark. Code Ann. § 23-42-504(A)(9).