Administrative Orders
Year 1999
|
99-074-S 12/27/1999 |
MORRIS TAX SERVICE, INC. Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12). |
|
99-072-S 12/13/1999 |
CITY CYCLES, INC. Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12). |
|
99-073-S 12/13/1999 |
S & K QUALITY PLUMBING, INC. Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12). |
|
99-071-S 12/6/1999 |
GUS BLASS, II Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(8). |
|
99-070-S 12/6/1999 |
FIRST FINANCIAL PLANNERS, INC.; FFP SECURITIES, INC.; FFP ADVISORY SERVICES, INC. Consent Order. |
|
99-069-S 12/3/1999 |
MILLENNIUM INTERACTIVE TECHNOLOGIES CORP., DAVID HELMSTETTER, LOW KOWAL AND ALL PERSONS EMPLOYED BY OR OTHERWISE AFFILIATED WITH THAT ENTITY OR THOSE PERSONS Cease and Desist Order pursuant to Ark. Code Ann. § 23-42-101, et seq. |
|
99-068-S 11/22/1999 |
EDWIN WELLS SHAVING, INC. Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12). |
|
99-066-S 11/2/1999 |
WILLIAMS CENTER NORTHWEST, INC. Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12). |
|
99-065-S 10/28/1999 |
JEFFERSON SURGERY CENTER PLLC Order providing a waiver of certain provisions of the exemption pursuant to Ark. Code Ann. § 23-42-504(a)(9). |
|
99-064-S 10/28/1999 |
CEI ENGINEERING ASSOCIATES, INC. Order providing a waiver of certain provisions of the exemption pursuant to Ark. Code Ann. § 23-42-504(a)(9). |
|
99-063-S 10/25/1999 |
WILLIAMS CENTER NORTHWEST, INC. Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12). |
|
99-062-S 10/6/1999 |
SAM CLEMENTE SECURITIES, INC., COOKE BAILLE CHRISTOPHER, THOMAS H. SUNDERLAND, DAVID ALLEN MULLENAX, AND ROBERT MABRY MULLENAX D/B/A MULLENAX FINANCIAL GROUP Summary Order suspending registration. |
|
99-061 10/6/1999 |
CUSTARD & RIBS, LLC. Order providing waiver of certain provisions of the exemption pursuant to Ark. Code Ann. § 23-42-503(b). |
|
99-059-S 10/1/1999 |
CHEMICAL TRUST AND ITS TRUSTEES, PRINCIPALS, OFFICERS, AGENTS AND AFFILIATES, INCLUDING, BUT NOT LIMITED TO, LEWEY L. CATO, III; AND, UNITED MARKETING TRUST AND ITS TRUSTEES, PRINCIPALS, OFFICERS, AGENTS AND AFFILIATES, INCLUDING, BUT NOT LIMITED TO, CLIFTON WILKINSON; AND UNITED STATES GUARANTEE CORPORATION AND ITS PRINCIPALS, OFFICERS, AGENTS AND AFFILIATES, INCLUDING, BUT NOT LIMITED TO ALVIN A. TANG Cease and Desist Order. |
|
99-060-S 9/22/1999 |
EUGENE FORSYTH D/B/A FORSYTH RESEARCH AND DEVELOPMENT CENTER Cease and Desist Order pursuant to Ark. Code Ann. § 23-42-209. |
|
99-054-S 9/16/1999 |
ROBERT MITCHELL ROSS, REGISTERED REPRESENTATIVE CRD NO. 2372969 Consent Order |
|
99-042-S 9/13/1999 |
ARGENT SECURITIES, INC. TIMOTHY WAYNE MCAFEE AND ERIC T. GELFAND Consent Order. |
|
99-053-S 9/8/1999 |
NATION'S EXPRESS, INC. Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12). |
|
99-052-S 9/7/1999 |
MARK A. LEE Order excluding individual from investment adviser definition pursuant Ark. Code Ann. § 23-42-102(8)(F). |
|
99-043-S 9/7/1999 |
ARGENT SECURITIES, INC. TIMOTHY WAYNE MCAGEE; AND ERIC T. GELFAND Consent Order. No registration of Gelfand in Arkansas in any capacity in the securities industry will ever be effected in Arkansas. |
|
99-051-S 9/1/1999 |
GUS BLASS, II Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(8). |
|
99-050-S 8/30/1999 |
ALLIANCE TRUST; TRUSTEES, PRINCIPALS, OFFICERS, AGENTS AND AFFILIATES, INCLUDING BUT NOT LIMITED TO, CLIFTON WILKINSON; U.S. GUARANTEE CORP.; AND ALVIN A. TANG Amended Cease and Desist Order. |
|
99-049-S 8/25/1999 |
HALO SPARK PLUG, INC.; HALO, INC.; JAMES JOHNSON, PRESIDENT, AND RUSS RASNIC, CHIEF OPERATING OFFICER Order directing investigation and empowering officer pursuant to Ark. Code Ann. § 23-42-205. |
|
99-048-S 8/25/1999 |
MEDALLION FINANCIAL SERVICES AND STEVE INMAN Order directing investigation and empowering officer pursuant to Ark. Code Ann. § 23-42-205. |
|
99-047-S 8/23/1999 |
MILTON CHANEY; ROBERT (PECK) TRAVIS; GCS DEVELOPMENT CORPORATION; AND DIRECTORS, OFFICERS AND EMPLOYEES OF GCS DEVELOPMENT CORPORATION Order directing investigation and empowering officer pursuant to Ark. Code Ann. § 23-42-205. |
|
99-045-S 8/17/1999 |
ALLIANCE TRUST; TRUSTEES, PRINCIPALS, OFFICERS, AGENTS AND AFFILIATES, INCLUDING BUT NOT LIMITED TO, CLIFTON WILKINSON Cease and Desist Order |
|
99-046-S 8/11/1999 |
THE PEOPLE'S CHURCH OF ARNOLD; CAMP DAVID; AND KENNETH BROWN Cease and Desist Order |
|
99-044-S 8/10/1999 |
CENTRAL ARKANSAS PRIMARY CARE PHYSICIANS, INC. Order providing a waiver of certain provisions of the exemption pursuant to Ark. Code Ann. § 23-42-504(a)(9). |
|
99-041-S 8/4/1999 |
EFT NETWORK SERVICES, LLC. Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12). |
|
99-040-S 8/2/1999 |
SUN RIVER CORPORATION Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12). |
|
99-039-S 8/2/1999 |
SUN INDUSTRIES, INC. Order providing a transactional exemption from registration pursuant to 23-42-504(a)(12). |
|
99-038-S 7/30/1999 |
ST. MARK'S EPISCOPAL CHURCH Order excluding certain individuals from agent definition pursuant to Ark. Code Ann § 23-42-102(2)(B)(i)(a). |
|
99-037-M 7/26/1999 |
U.S. MORTGAGE, INC. Order entered pursuant to Ark. Code Ann. §23-39-101, et seq. (Repl) (the Act). |
|
99-036-S 7/22/1999 |
DELEGATION OF DUTIES OF THE SECURITIES COMMISSIONER TO ANN MCDOUGAL, DEPUTY COMMISSIONER. |
|
99-035-S 7/20/1999 |
ARKANSAS CASINO CORPORATION, AN IDAHO CORPORATION; ARKANSAS CASINO CORPORATION, AN ARKANSAS CORPORATION; ARKANSAS CASINO PARTNERS, A/K/A ARKANSAS CASINO COMPANY, AN ARKANSAS GENERAL PARTNERSHIP; ROBERT D. MAY, PRESIDENT; THOMAS L. GOODWIN, FORMER PRESIDENT; JAMES C. HARRIS, FORMER CHAIRMAN AND SECRETARY; ROBERT C. MEANS, VICE-PRESIDENT; AND PULASKI COUNTY CASINO PARTNERS Summary Order to Cease and Desist pursuant to Ark. Code Ann. §§ 23-42-209 and 23-42-505, Rule 504.02(B) of the Rules of the Arkansas Securities Commissioner and the Arkansas Administrative Procedure Act, Arkansas Code Ann. § 25-15-201, et. seq. |
|
99-033-S 7/1/1999 |
CHARTENDURE, LIMITED Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12). |
|
99-030-S 6/28/1999 |
SINDA, INC. Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12). |
|
99-029-S 6/25/1999 |
COMMUNICORP, TEAM CR LIMITED BILL HAYWOOD, DARYN S. BOZEK Cease and Desist Order. |
|
99-031-S 6/23/1999 |
SIERRA PACIFIC RESOURCES Order excluding certain individuals from agent definition pursuant to Ark. Code Ann. § 23-42-102(2)(B)(i). |
|
99-028-S 6/23/1999 |
CSW NET, INC. Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12). |
|
99-027-S 6/23/1999 |
ATM USA CORPORATION; ATM USA CORPORATION ACQUISITION PROGRAM - ALPHA SERIES LIMITED PARTNERSHIP; PRINCIPALS, OFFICERS, DIRECTORS, AGENTS, ACCOUNT EXECUTIVES AND AFFILIATES, INCLUDING, BUT NOT LIMITED TO, WILLIAM H. MIRACLE Cease and Desist Order. |
|
99-026-S 6/11/1999 |
HEARTLAND PHARMACY ALLIANCE, LLC Order providing a waiver of certain provisions of the exemption pursuant to Ark. Code Ann. § 23-42-504(a)(9). |
|
99-023-S 6/2/1999 |
GREEN BAY PACKAGING, INC. Order providing a waiver of certain provisions of the exemption pursuant to Ark. Code Ann. § 23-42-504(a)(9). |
|
99-025-S 6/2/1999 |
GLACIER GOLD MINES, INC.; SURFACING TECHNOLOGY CORP.; SIDNEY B. WOOD Cease and Desist Order. |
|
99-024-S 6/2/1999 |
OUTDOOR AMERICA, INC. Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12). |
|
99-022-S 5/28/1999 |
SEA BANCSHARES, INC. Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12). |
|
99-021-S 5/27/1999 |
OZARK FOOD COOPERATIVE EXCHANGE Order providing a waiver of certain provisions of the exemption pursuant to Ark. Code Ann. § 23-42-504(a)(9). |
|
99-020-S 5/26/1999 |
BILL HAYWOOD; COMMUNICORP; DARYN S. BOZEK; AND TEAM CR LTD. Order directing investigation and empowering officer pursuant to Ark. Code Ann. § 23-42-205. |
|
99-019-S 5/12/1999 |
MEYER'S BAKERIES, INC. Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12). |
|
99-011-S 4/30/1999 |
SUMMIT BROKERAGE SECURITIES, INC. Consent Order. |
|
99-016-S 4/28/1999 |
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. |
|
99-017-S 4/28/1999 |
ARKANSAS OFFICE FURNITURE, INC. Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12). |
|
99-015-M 4/26/1999 |
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). |
|
99-014-S 4/26/1999 |
MORETTI'S ITALIAN BISTRO, INC. Order providing a transactional exeption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12). |
|
99-013-S 4/21/1999 |
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 this is not "doing business." |
|
99-012-S 4/21/1999 |
BLEACHER BUM SPORTS, L.L.C. Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12). |
|
99-010-S 4/9/1999 |
CAPITOL RESORTS, INC.; CAPITOL RESORTS OF FLORIDA, INC.; CAPITOL COMMUNITIES CORPORATION Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12). |
|
98-008-S 4/2/1999 |
ROUND LAKE CO-OP GIN Order extending exemption period pursuant to Ark. Code Ann. § 23-42-503(a)(4). |
|
99-007-S 3/26/1999 |
SAF-T-LITS SAFETY SYSTEMS, INC.; TOMMY BARRON; AND DIRECTORS, OFFICERS, EMPLOYEES AND AGENTS Cease and Desist Order. |
|
99-018-S 3/24/1999 |
THE PORTLAND BANK Order extending exemption period pursuant to Ark. Code Ann. § 23-42-503(a)(3). |
|
99-006-S 3/19/1999 |
SAF-T-LITS SAFETY SYSTEMS, INC.; TOMMY BARRON AND DIRECTORS, OFFICERS, EMPLOYEES AND AGENTS Order directing investigation and empowering pursuant to Ark. Code Ann. § 23-42-205. |
|
99-005-S 3/11/1999 |
HTE HOLDINGS, INC. Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12). |
|
99-004-S 2/25/1999 |
INTERNATIONAL BENEVOLENCE FUND TRUST FRANK R. JOHNSON; AND DIRECTORS, OFFICERS, EMPLOYEES AND AGENTS OF INTERNATIONAL BENEVOLENCE FUND TRUST Cease and Desist Order. |
|
99-003-S 2/23/1999 |
PSYCHCARE LLC Order providing a transactional exemption from registration pursuant to Ark. Code Ann. 23-42-504(a)(12). |
|
99-002-S 1/26/1999 |
BEACON TIRE SERVICE NO. 2, INC. Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12). |
|
99-001-S 1/20/1999 |
CHURCH DEVELOPMENT FUND, INC. Order extending exemption period pursuant to Ark. Code Ann. § 23-42-503(d)(4). |
< back to year select
