CEI ENGINEERING ASSOCIATES, INC.
Order providing a waiver of certain provisions of the exemption pursuant to Ark. Code § 23-402-504(a)(9).
MORGAN STANLEY & CO., INCORPORATED
Consent Order as the result of multi-state task force investigating the equity research practices.
DREAM HOUSE MORTGAGE CORPORATION, PROVIDENCE, RI
Order to vacate Order No. C-03-029-03-OR01.
H.M.I. RECYCLING & DISPOSAL, INC.
Request for no action to enforce registration provisions of the Arkansas Securities Act with respect to...
CHARLES E. ELLIOTT, INDIVIDUALLY AND D/B/A BREAD OF LIFE INVESTMENTS, LTD.; CHARLES E. ELLIOTT AND NICHOLAS J. KRUG, INDIVIDUALLY, AND D/B/A GOLD STAR PROPERTIES AND GOLDEN EAGLE 1 GROUP; PLATINUM ADVANTAGE LLC INTERNATIONAL CREDIT UNION; VANTAGE GLOBAL FUND LP; DOVE HOLDINGS, LLC; REBATES INTERNATIONAL, INC.; AND TERRY H. MAHON
Cease and Desist Order pertaining to the offer or sale of unregistered securities.
LEHMAN BROTHERS INC.
Consent Order as the result of a multi-state task force investigating the equity research practices.
J. P. MORGAN SECURITIES, INC.
Consent Order as the result of a multi-state task force investigating the equity research practices.
BASIN OIL & GAS CORPORATATION, THOMAS R. WATKINS, President, STEVE JUSTICE, JIM CROWLEY and ALL PERSONS EMPLOYED BY OR OTHERWISE AFFILIATED WITH THOSE ENTITIES OR THOSE PERSONS
Cease and Desist Order pertaining to the offer or sale of unregistered securities.
INTEGRATED PAYMENT SYSTEMS
Request for the Department to consider “depository institution agent receivables” from “federally regulated depository institutions” as...