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.
CONCERT WEALTH MANAGEMENT, INC.
05/04/2010
Consent order entered in connection with violations of the Arkansas Securities Act concerning solicitation letters sent prior to the registration of a registered representative of Concert Wealth Management, Inc.
CREDIT SUISSE SECURITIES (USA) LLC
04/16/2010
Consent order entered in connection with Credit Suisse Securities (USA) LLC in settlement of an investigation into Credit Suisse’s auction rate securities market activities where Credit Suisse agreed to buy back auction rate securities from Arkansas investors and pay a fine.
METAVANTE PAYMENT SERVICES, LLC
04/15/2010
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.