Order granting conditional registration of Mitchum W. Tapson to be registered as an investment adviser representative for St. Bernard Financial Services, Inc.
TRUMARX DATA PARTNERS, INC.
07/08/2010
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.
SHARED PERFORMANCE, LLC
07/06/2010
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.
APPLE TREE ASSET MANAGEMENT, INC.
06/30/2010
Consent order addressing investment adviser violations by Steve Kiefer and Apple Tree Asset Management, Inc.
JACKSON MODERATE PORTFOLIO, LP
06/28/2010
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.
BROOKLINE ZIOPHARM INVESTMENT FUND, LLC
06/24/2010
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.
NATIONWIDE MORTGAGE CONCEPTS, LLC
06/14/2010
Consent order concerning violations of the Arkansas Fair Mortgage Lending Act involving misleading and deceptive advertising.
TOM D. FLORES
06/02/2010
Order directing Tom D. Flores to immediately cease and desist from all mortgage loan activity in Arkansas until properly licensed.
JOHN R. TURBEVILLE
05/30/2010
Consent order concerning multiple violations of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner by John R. Turbeville.