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).
UNITED FIDELITY FUNDING CORPORATION, LUTHER A. REED, MARTHA Y. EHLEN
09/03/2010
Consent order entered in connection with unlicensed mortgage loan officers and branches in violation of the Arkansas Fair Mortgage Lending Act.
WILLOW BEND MORTGAGE COMPANY
09/01/2010
Consent order entered in connection with Willow Bend Mortgage Company’s late filing of an annual report with the Department.
AGENT AND PRINCIPAL OF A BROKER-DEALER REGISTRATIONS
08/31/2010
Order Limiting Agent and Principal of a Broker-Dealer Registrations to the Scope of the Examination
FREEDOM MORTGAGE CORPORATION
08/23/2010
Consent order entered in connection with unlicensed branch activity by Freedom Mortgage Corporation.
ARIA & ASSOCIATES, INC. “AMERICAN LOAN ASSISTANCE AND ALEX CORTEZ
08/16/2010
Cease and desist order stopping unlicensed and misleading or deceptive mortgage loan activity.