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.
KEITH R. WINGAD TAATS and TAATS3
07/14/2010
An order directing Keith R. Wingad to cease and desist acting as an unregistered investment adviser and offering and selling unregistered securities in the form of investments in the TAATS and TAATS3 partnerships.
MITCHUM TAPSON
07/09/2010
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.