SUMMIT BROKERAGE SECURITIES, INC.
Consent Order.
SECURITIES
Request that no enforcement action be taken for the demutualization of mutual life insurance company based...
ARKANSAS OFFICE FURNITURE, INC.
Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12).
SOUTHWEST FACTORS, INC.; S.W. FINANCIAL MANAGEMENT, L.L.C.; FUNDING SOURCES SUPPORT, INC.; MIKE MCNEW, PRESIDENT, RON BURKE, AND JOE O’BANION
Order directing investigation and empowering officer pursuant to Ark. Code Ann. § 23-42-205.
MORETTI’S ITALIAN BISTRO, INC.
Order providing a transactional exception from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12).
MELODY A. MOORE; TIMOTHY MOORE; DEMETRIA MOORE; AND CONGRESS MORTGAGE, L.L.C.; TEXARKANA, TEXAS
Cease and Desist Order pursuant to Ark. Code Ann. § 23-39-202(b)(1).
BLEACHER BUM SPORTS, L.L.C.
Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12).
BROKER-DEALERS; INVESTMENT ADVISERS’ BROKER-DEALER AGENTS; AND INVESTMENT ADVISER REPRESENTATIVES USING THE INTERNET FOR GENERAL DISSEMINATION OF INFORMATION ON PRODUCTS AND SERVICES
Interpretative Order that sets forth the Department’s position regarding individual web sites of agents and when...
ROBERT L. STILES
Denial of a no action request regarding registration as a broker-dealer or agent of the issuer...