PRICKETT’S GROCERY, INC.; HORRACE PRICKETT
Order providing a transactional exemption pursuant to Ark. Code Ann. § 23-42-504(a)(12).
GUS BLASS, III
Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(8).
U. S. MORTGAGE, INC.
Cease and Desist Order issued pursuant to Ark. Code Ann. § 23-39-202(b)(1).
STEPHENS INVESTMENT PARTNERS III, LLC.
Order providing a waiver of the number of purchasers pursuant to Ark. Code Ann. § 23-42-504(a)(9)(B).
DUNN INSURANCE AGENCY, INC. CITIZENS BANK AND TRUST WESTERN BANCSHARES, INC.
Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12).
J.P. TURNER & COMPANY, LLC., STEPHEN CARCATERRA, AND ALL PERSONS EMPLOYED BY OR OTHERWISE AFFILIATED WITH THE RESPONDENTS WHOSE IDENTITY IS UNKNOWN
Amended Cease and Desist Order for transacting business as a broker-dealer or agent without being registered.
WARREN SWIFT LTD.
Request for a no action regarding the organization of a limited partnership under Rule 504.01(A)(12)(a) of...
GULF POWER COMPANY
Order extending exemption period of certain securities pursuant to Ark. Code Ann. § 23-42-503(a)(5).
UNIVERSITY ALUMNI FUNDS, LLC
Request for no action position regarding exemption of registration for University Alumni Funds, LLC as a...