Consent order entered in connection with a violation of the Arkansas Uniform Money Services Act pertaining to an untimely filing with the Department.
MERIDIAN INVESTMENTS, INC. d/b/a MERIDIAN MORTGAGE
04/06/2010
Consent order entered in connection with violations of the Arkansas Fair Mortgage Lending Act pertaining to unlicensed mortgage loan officer activity.
LACUNA VENTURE FUND, LLLP
04/05/2010
Consent order entered in connection with violations of the Arkansas Securities Act pertaining to the SEC investment advisory firm’s failure to notice file and failure to register representatives, with an agreement to pay a fine.
LACUNA HEDGE FUND LLLP
04/05/2010
Consent order entered in connection with violations of the Arkansas Securities Act pertaining to the SEC investment advisory firm’s failure to notice file and failure to register representatives, with an agreement to pay a fine.
MERRILL LYNCH & PIERCE, FENNER & SMITH INCORPORATED
04/01/2010
Consent order in settlement of violations of the Rules of the Arkansas Securities Commissioner by Merrill Lynch & Pierce, Fenner & Smith Incorporated concerning Merrrill Lynch’s failure to detect and prevent violations committed by its employee.
MORGAN STANLEY & CO. INCORPORATED
03/25/2010
Consent order entered in connection with Morgan Stanley & Co. Incorporated in settlement of an investigation into Morgan Stanley’s auction rate securities market activities where Morgan Stanley agreed to buy back auction rate securities from Arkansas investors and pay a fine.
CITIGROUP GLOBAL MARKETS, INC.
03/19/2010
Consent order entered in connection with Citigroup Global Markets, Inc. in settlement of an investigation into Citigroup’s auction rate securities market activities where Citigroup agreed to buy back auction rate securities from Arkansas investors and pay a fine.
FIRST ARKANSAS FINANCIAL, INC.
03/17/2010
Consent order entered in connection with violations of the Arkansas Fair Mortgage Lending Act pertaining to unlicensed mortgage loan activity.
WACHOVIA SECURITIES, LLC AND WACHOVIA CAPITAL MARKETS, LLC
03/16/2010
Consent order entered in connection with Wachovia Securities, LLC and Wachovia Capital Markets, LLC in settlement of an investigation into Wachovia’s auction rate securities market activities where Wachovia agreed to buy back auction rate securities from Arkansas investors and pay a fine.