Cease and desist order pertaining to the offer or sale of unregistered securities.
GLOBAL PARTNERS CAPITAL, ASIA PACIFIC ENERGY, INC., HAU WAI CHEUNG a/k/a JOHN CHUNG, SINGH GAHUNIA a/k/a SHAWN MILLER, TRAVIS ARMSTRONG, PETER BECKFORD, AND DIANE FRANCES
07/28/2008
Cease and desist order pertaining to the offer or sale of unregistered securities.
TIMOTHY ALONZA LILLY, d/b/a/ COVENANT SENIOR ADVISORS, LLC
07/01/2008
Cease and desist order alleging that Timothy Lilly d/b/a as Covenant Senior Advisors, LLC and other staff have violated the provisions of the Act under Ark. Code Ann. § 23-42-101 to 501.
MORGAN STANLEY & CO., INC.
06/04/2008
Consent order entered in connection with violations of Ark. Code Ann. § 23-42-501 in connection with the sales of unregistered securities and §§ 23-42-301(e) and 23-42-308(a)(2)(J) for violating the supervision requirements.
TIMOTHY ALONZA LILLY, DAVID LARRY PUCKETT, JOE A. RICHARDS and FIRST FIDELITY FINANCIAL GROUP OF MAUMELLE, LLC
05/23/2008
Cease and desist order based on evidence that Lilly, Puckett, Richards and staff associated with them have violated provisions of the Arkansas Securities Act under Ark. Code Ann. §§ 23-42-100 through 23-42-509.
TERRY MITCHELL, d/b/a ADVANTAGE FINANCIAL SERVICES
05/13/2008
An amended and substituted consent order pursuant to the Arkansas Securities Act, codified at Ark. Code Ann. § 23-42-101 regarding full settlement of claims that could be brought against Mitchell.
AMERIFUND FINANCIAL, INC., d/b/a ALLFUND MORTGAGE, LICENSE NO. 11449
05/06/2008
Revocation order for the temporary suspension of a license of Amerifund Financial as a mortgage banker and mortgage broker.
GUARDIAN FINANCIAL MORTGAGE CORP., LICENSE NO. 40432, AND; WESLEY S. SNODGRASS, LOAN OFFICER LICENSE NO. 15741
05/01/2008
Revocation order and cease and desist order based on Snodgrass’ submission of applications for licenses to the Department containing false statements.
DEOCAP CORPORATION LICENSE NO. 35903
04/17/2008
Order for the revocation of a mortgage broker license for cancelation of a surety bond.