Administrative Orders
Year 1998
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98-077-s 12/30/1998 |
ARKANSAS BREAD COMPANY, INC. Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12).
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98-078-S 12/29/1998 |
S&W ENGINEERING Order providing transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12)
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98-075-S 12/15/1998 |
NORTHWEST CONTROLS SYSTEMS, INC. Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12).
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98-074-S 12/11/1998 |
GUS BLASS, II Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(8).
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98-076-S 12/2/1998 |
D.H. BLAIR & CO., INC. Consent Order
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98-063-S 11/25/1998 |
TRINITY COURT PLACE LIMITED PARTNERSHIP Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12).
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98-062-S 11/24/1998 |
COMMUNITY BANK LIFE & HEALTH INSURANCE COMPANY Order exempting the offer and sale of certain securities pursuant to Ark. Code Ann. § 23-42-504(a)(12).
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98-060-S 11/20/1998 |
FTN ASSOCIATES, LTD. Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(8).
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98-059-S 11/13/1998 |
UNIQUE FINANCIAL CONCEPTS, INC.; STEVEN SILVERSTEIN AND ALL PERSONS IN CONTROL OF, EMPLOYEED BY OR OTHERWISE AFFILIATED WITH THOSE PERSONS OR ENTITIES Cease and Desist Order for transacting business as a broker-dealer or agent without being registered and selling unregistered securities.
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98-058-S 11/6/1998 |
CHRISTIAN INVESTORS FOUNDATION Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-503(a)(7).
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98-057-S 11/6/1998 |
THE ARKANSAS MODEL ACCREDITED INVESTORS EXEMPTION Order exempting certain offers and sales of securities soley to accredited investors pursuant to Ark. Code Ann. § 23-42-504(a)(12).
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98-056-S 10/7/1998 |
GLENN MICHAEL FINANCIAL, INC. MAHER TALAT ZAITOUN Cease and Desist Order for transacting business as a broker-dealer or agent without being registered.
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98-054-S 10/7/1998 |
MOUNTAIN LAND GROUP, LLC. Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12)
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98-055-S 10/6/1998 |
COUNTRY CLUB RESORTS, INC. Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12).
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98-053-S 10/2/1998 |
WELS CHURCH EXTENSION FUND, INC. Order providing a tranactional exemption from registration pursuant to Ark. Code Ann. § 23-42-503(a)(7).
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98-052-S 9/30/1998 |
FENMORE INTERNATIONAL, LTD., LIBERTY FINANCIAL PRODUCERS, LTD.; ANWAR HEIDARY, ROBERT POVEY, JERRY VOSSELMAN, RAYMOND E. MOORE Cease and Desist Order for sale of unregistered securities, for acting as a broker-dealer and agent without being registered.
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98-051-S 9/25/1998 |
FAMILY CAPITAL HOLDINGS, INC.; GERALD W. JONES, JOSEPH C. DAVID, JR. AND RON LEDFORD Cease and Desist Order for sale of unregistered securities.
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98-042-S 9/15/1998 |
PRICKETT'S GROCERY, INC.; HORRACE PRICKETT Order providing a transactional exemption pursuant to Ark. Code Ann. § 23-42-504(a)(12). |
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98-050-S 9/14/1998 |
GUS BLASS, III Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(8).
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98-049-M 9/4/1998 |
U. S. MORTGAGE, INC. Cease and Desist Order issued pursuant to Ark. Code Ann. § 23-39-202(b)(1).
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98-047-S 8/28/1998 |
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).
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98-046-S 8/21/1998 |
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). |
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98-045-S 8/13/1998 |
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. |
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98-044-S 7/16/1998 |
GULF POWER COMPANY Order extending exemption period of certain securities pursuant to Ark. Code Ann. § 23-42-503(a)(5). |
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98-043-S 6/26/1998 |
PROGRESSIVE NATIONAL MORTGAGE COMPANY, LLC. Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12). |
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98-041-S 6/15/1998 |
ARKANSAS WOMEN'S HEALTH CENTER, INC. Order providing a transactional exemption pursuant to Ark. Code Ann. § 23-42-504(a)(12). |
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98-040-S 6/2/1998 |
MASTERS FINANCIAL GROUP, INC. Summary Order suspending registration pursuant to Ark. Code Ann. § 23-42-308(c)(1) and Rule 601.07(B). |
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98-039-S 5/29/1998 |
ZENITH INVESTMENT GROUP DONALD FOSS AND DENNIS EARL WILLIAMS Cease and Desist Order for sale of unregistered securities. |
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98-038-S 5/22/1998 |
CREWS AND ASSOCIATES Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12). |
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98-033-S 5/1/1998 |
DELEGATION OF DUTIES OF THE SECURITIES COMMISSIONER TO REBECCA BERRY, DEPUTY COMMISSIONER |
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98-031-S 4/29/1998 |
COVERED SECURITIES PURSUANT TO SECTION 18(b) AND 18(b)(4)(D) OF THE FEDERAL SECURITIES ACT OF 1933 Order waiving requirements pursuant to Ark. Code Ann. § 23-42-509(f). |
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98-032-S 4/29/1998 |
PERSONS EFFECTING CERTAIN TRANSACTIONS IN COVERED SECURITIES Order exempting persons who effect certain transactions in covered securities from the definition of agent pursuant to Ark. Code Ann. § 23-42-102(2)(B)(i)(c). |
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98-030-S 4/22/1998 |
BEATY & GILLSON HOLDINGS, LLC. Order providing a transactional exemption from registration pursuant to Ark. Code Ann § 23-42-504(a)(12). |
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98-024-S 3/27/1998 |
MASTERS FINANCIAL GROUP, INC. Order for immediate production of records pursuant to Ark. Code Ann. § 23-42-205 (a)(1). |
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98-019-S 3/24/1998 |
COMMUNITY TRUST COMPANY Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12). |
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98-014-S 3/23/1998 |
WASHINGTON WATER POWER COMPANY Order excluding certain individuals from agent definition pursuant to Ark. Code Ann. § 23-42-102(B)(i)(c). |
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98-017-S 3/18/1998 |
LEISURE TIME PRODUCTIONS, INC. Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12). |
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98-016-S 3/17/1998 |
THERMOENERGY CORPORATION Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12). |
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98-015-S 3/11/1998 |
DELEGATION OF DUTIES OF THE SECURITIES COMMISSIONER TO REBECCA BERRY, DEPUTY COMMISSIONER |
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98-013-S 3/11/1998 |
SPRINGDALE FAMILY MEDICAL CLINIC, P.A. Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12). |
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98-012-S 3/6/1998 |
MEYERS-POLLOCK-ROBBINS, INC. MICHAEL PLOSHNICK Order revoking registration of, and imposing fines on, Meyers-Pollock-Robbins, Inc. and Micheal Ploshnick. |
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98-044-S 2/20/1998 |
ARGENT SECURITIES, INC. Order for immediate production of records pursuant to Ark. Code Ann. § 23-42-205. |
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98-009-S 2/19/1998 |
AMERICAN FIBER INDUSTRIES, LLC. Amended Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12). |
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98-008-S 2/13/1998 |
HAMILTON-CHASE VENTURES WILLIAM C. CARR AND REID MORGAN Cease and Desist Order for sale of unregistered securities. |
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98-007-S 2/9/1998 |
ARKANSAS CASINO CORPORATION Consent Order requiring recission. |
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98-006-S 2/5/1998 |
MICHAEL AKIN Order of permanent revocation. |
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98-005-S 1/30/1998 |
CHURCH EXTENSION PLAN PARTNERS PLUS INVESTMENT CHURCH CERTIFICATES Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-503(a)(7). |
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98-004-S 1/27/1998 |
Z3 CAPITAL CORP., STELLA BELLA CORP.; USA INTERNATIONAL BRANDS, INC.; STEVEN ZUBKIS, BRUNO KOZIK; MARK SCIALDONE Cease and Desist Order for sale of unregistered securities. |
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98-003-S 1/21/1998 |
THE AMERICAN BAPTIST EXTENSION CORPORATION Summary Order disallowing exemption from registration. |
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98-002-S 1/16/1998 |
REAL PRACTICES, INC. Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12). |
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98-001-S 1/8/1998 |
THE STERLING GROUP ERIC STEIN Cease and Desist Order for sale of unregistered securities. |
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