LACUNA HEDGE FUND LLLP
Consent order entered in connection with violations of the Arkansas Securities Act pertaining to the SEC...
MERRILL LYNCH & PIERCE, FENNER & SMITH INCORPORATED
Consent order in settlement of violations of the Rules of the Arkansas Securities Commissioner by Merrill...
RODNEY CALLAWAY, HERITAGE CORNER, LTD., and HERITAGE FUNDING GROUP, INC.
A. Heath Abshure, Arkansas Securities Commissioner, filed a complaint in Circuit Court of Pulaski County, Arkansas...
MORGAN STANLEY & CO. INCORPORATED
Consent order entered in connection with Morgan Stanley & Co. Incorporated in settlement of an investigation...
MICHAEL DANIEL GARDNER AND GARDNER INSURANCE AGENCY, INC.
A. Heath Abshure, Arkansas Securities Commissioner, filed a complaint in the Circuit Court of Pulaski County,...
CITIGROUP GLOBAL MARKETS, INC.
Consent order entered in connection with Citigroup Global Markets, Inc. in settlement of an investigation into...
FIRST ARKANSAS FINANCIAL, INC.
Consent order entered in connection with violations of the Arkansas Fair Mortgage Lending Act pertaining to...
WACHOVIA SECURITIES, LLC AND WACHOVIA CAPITAL MARKETS, LLC
Consent order entered in connection with Wachovia Securities, LLC and Wachovia Capital Markets, LLC in settlement...
BROOKSTONE SECURITIES, INC.
Consent order entered in connection with violations of the Arkansas Securities Act pertaining to an unregistered...