WAL-MART STORES, INC EMPLOYEE BENEFIT PROGRAM
Request that no enforcement action be taken against Wal-Mart for engaging in certain activities without being...
GUS BLASS, II
Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(8).
ACE CASH EXPRESS, INC.
Request that no enforcement action be taken against Ace Cash Express, Inc. for engaging in certain...
OUACHITA REGIONAL DIAGNOSTIC & SURGERY CENTER, INC.
Order providing a waiver of certain provisions of the exemption pursuant to Ark. Code Ann. §...
PHILLIP DARREN SHOCKEY A/K/A PHILLIP DAREN SHOCKEY
Cease and Desist Order issued for Phillip Shockey to immediately cease and desist from transacting any...
CITIGROUP GLOBAL MARKETS INC. (FORMERLY KNOWN AS SALOMON SMITH BARNEY INC.)
Consent Order as the result of a multi-state task force investigating the equity research practices.
U.S. BANCORP PIPER JAFFRAY INC.
Consent Order as the result of a multi-state task force investigating the equity research practices.
CEI ENGINEERING ASSOCIATES, INC.
Order providing a waiver of certain provisions of the exemption pursuant to Ark. Code § 23-402-504(a)(9).