GARY WRIGHT
Order directing investigation and empowering officers based on evidence that Gary Wright has violated various sections...
MICHAEL KENT ZEDLITZ
Cease & Desist Order based on evidence that Michael Kent Zedlitz has violated certain provisions of...
JEFFERSON SURGERY CENTER, PLLC
Order providing a waiver of certain provisions of the exemption pursuant to Ark. Code Ann. §23-42-504(a)(9)...
DEUTSCHE BANK SECURITIES, INC.
Consent Order regarding the issue of Deutsche Bank failing to reasonably supervise research analysts’ activities and...
ARKANSAS SECURITY CAPITAL CORPORATION
Request that no action to enforce registration provisions according to the Act with respect to proposed...
TOMMY RUFF, CARLA CHASTAIN, FIRST FINANCIAL ADVISORS, INC., AND FIRST FINANCIAL BROKERAGE SERVICES, INC.
Consent Order pursuant to Ark. Code Ann. § 23-42-101 in full settlement of all claims that...
BANCORPSOUTH INVESTMENT SERVICES, INC. & AHA SERVICES, INC.
Request that no action be taken against AHA Services, Inc. for engaging in certain activities without...
HEARTLAND PHARMACY ALLIANCE ASSOCIATES, INC.
Request that no action letter be issued determining that the Class A and Class B Certificates...
FORTRESS FOUNDATION, INC., LEROY HOBACK, O. BRUCE MIKELL, G. T. FUNDS, INC., RAYMOND M. STREIG, WILLIAM E. SCHWERDTFEGER, GLORIA N. STREIG, RA’ NIC STREIG SCHWERDTFEGER AND ALL PERSONS EMPLOYED BY OR OTHERWISE AFFILIATED WITH THOSE ENTITIES OR THOSE PERSONS
Cease & Desist Order based on evidence received by the Department which indicates that Fortress Foundation,...