Administrative Orders
Year 2003
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03-80004671-OR100 12/16/2003 |
GUS BLASS, II Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(8). |
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03-80004618-OR088 11/12/2003 |
OUACHITA REGIONAL DIAGNOSTIC & SURGERY CENTER, INC. Order providing a waiver of certain provisions of the exemption pursuant to Ark. Code Ann. § 23-42-504(a)(9). |
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C-03-030-03-CD01 11/7/2003 |
PHILLIP DARREN SHOCKEY Cease and Desist Order issused for Phillip Shockey to immediately cease and desist from transacting any business of a mortgage loan company or loan broker in Arkansas. |
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S-03-016-03-CO09 11/5/2003 |
MORGAN STANLEY & CO., INCORPORATED Consent Order as the result of multi-state task force investigating the equity research practices. |
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03-80004597-OR083 11/5/2003 |
CEI ENGINEERING ASSOCIATES, INC. Order providing a waiver of certain provisions of the exemption pursuant to Ark. Code § 23-402-504(a)(9). |
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S-03-016-03-CO06 11/5/2003 |
U.S. BANCORP PIPER JAFFRAY INC. Consent Order as the result of a multi-state task force investigating the equity research practices. |
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S-03-016-03-CO08 11/5/2003 |
CITIGROUP GLOBAL MARKETS INC. (FORMERLY KNOWN AS SALOMON SMITH BARNEY INC.) Consent Order as the result of a multi-state task force investigating the equity research practices. |
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C-03-029-03-OR01 10/31/2003 |
DREAM HOUSE MORTGAGE CORPORATION, PROVIDENCE, RI Order to vacate Order No. C-03-029-03-OR01. |
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S-03-023-03-CD01 10/16/2003 |
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. |
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S-03-033-03-CD01 10/1/2003 |
BASIN OIL & GAS CORPORATATION, Cease and Desist Order pertaining to the offer or sale of unregistered securities. |
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S-03-016-03-CO05 10/1/2003 |
J. P. MORGAN SECURITIES, INC. Consent Order as the result of a multi-state task force investgating the equity research practices. |
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S-03-016-03-CO04 10/1/2003 |
LEHMAN BROTHERS INC. Consent Order as the result of a multi-state task force investigating the equity research practices. |
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S-03-016-03-CO02 9/23/2003 |
CREDIT SUISSE FIRST BOSTON LLC, F/K/A CREDIT SUISSE FIRST BOSTON CORPORATION Consent Order as the result of a multi-state task force investigating the equity research practices. |
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S-03-016-03-CO03 9/22/2003 |
GOLDMAN, SACHS & CO. Consent Order as the result of a multi-state task force investigating the equity research practices. |
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03-80004549-OR075 9/12/2003 |
GUS J. BLASS, III Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504-(a)(8). |
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C-03-029-03-CD01 9/3/2003 |
DREAM HOUSE MORTGAGE CORPORATION, PROVIDENCE, RI Cease and Desist Order and revocation of mortgage loan company exemption from registration pursuant to Ark. Code Ann. § 23-39-306-(a)(4). |
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S-03-016-03-CO01 8/29/2003 |
BEAR, STEARNS & CO., INC. Consent Order as the result of a multi-state task force investigating the equity research practices. |
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S-03-016-03-CO01 8/22/2003 |
UBS WARBURG LLC Consent Order as the result of a multi-state task force investigating the equity research practices. |
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S-03-028-03-CO01 8/15/2003 |
INVESTMENT ADVISORY GROUP, LLC Consent Order pursuant to Ark. Code Ann. § 23-42-308(a)(2)(E). |
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03-90000314-NA013 7/22/2003 |
BIO-BASED CHEMICALS, LLC Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12). |
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S-03-025-03-CD01 7/11/2003 |
YELLOW PAGES WORLDWIDE, INCORPORATED; DERRICK FORD; ETCHIKA SHELL; LARRY HOUSE; RON HANSON; SAVVY BOY ENTERTAINMENT, INC; AND WILLIAM L. REDDITT Cease and Desist Order pertaining to the offer or sale of unregistered securities. |
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03-90000312-NA011 6/11/2003 |
DELEGATION OF DUTIES OF THE SECURITIES COMMISSIONER TO ANN MCDOUGAL, DEPUTY COMMISSIONER |
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C-03-021-03-CD01 6/9/2003 |
ARCS COMMERCIAL MORTGAGE CO., L.P., CALABASAS HILLS, CA Cease and Desist Order and revocation of mortgage loan company exemption from registration pursuant to Ark. Code Ann. § 23-39-306(a)(4). |
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C-03-008-03-CO01 6/2/2003 |
ASSET PLANNING GROUP; CARY H. SPECTOR; THOMAS H. BRAUN AND "TONY" KA'REN OUGLOUNTS Consent Order for transacting business as a broker-dealer or agent without being registered. |
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C-03-020-03-CD01 5/29/2003 |
VERSATILE MORTGAGE, INC.; MERGE MORTGAGE, INC.; MERGING ENTERPRISES, INC.; RENALDO D. ROBINSON; SHIRLENA L. WRIGHT, BRIAN RODGERS; RUBY ALEXANDER; JAMES BURKS, DWAN ROBINSON. AND ODELL KENNEDY Cease and Desist Order and Suspension of Mortgage Loan Company Registration. |
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03-80004433-OR056 5/29/2003 |
ARKANSAS PREFERRED PROVIDER ORGANIZATION, INC. Order providing a waiver of certain provisions of the exemption pursuant to Ark. Code Ann. § 23-42-504(a)(9). |
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03-80004402-OR046 5/29/2003 |
ASPHALT CONCRETE PRODUCTS, INC. Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12). |
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03-80004401-OR046 5/29/2003 |
STATEWIDE ASPHALT MAINTENANCE AND SEALING COMPANY, INC. Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12). |
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03-80004405-OR047 5/29/2003 |
DELTA PLASTICS, INC. Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12). |
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C-03-015-03-FO01 5/22/2003 |
UNITED MORTGAGE CONSULTANTS, INC., LITTLE ROCK, AR Final Cease and Desist Order and revocation of mortgage loan company registration. |
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03-80004377-OR41 5/16/2003 |
THE WOOD FLOOR GALLERY, INC. Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12). |
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03-90000309-NA009 5/15/2003 |
MORGAN KEEGAN & COMPANY, INC. Order granting exemption from Rule 308.01(F) of the Rules of the Arkansas Securities Commissioner as it relates to school bonds offered by the school districts for which it is acting as a fiscal agent. |
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S-03-017-03-CD01 5/12/2003 |
MDM ENERGY, INC., MICHAEL L. RAFAEL, PETE IRBY, GARY LEEPER 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. |
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C-03-018-03-OR01 5/7/2003 |
CHOICE ONE MORTGAGE, Order denying registration application. |
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03-80004350-OR35 4/25/2003 |
STEPHENS, INC. Order granting exemption from Rule 308.01(F) of the Rules of the Arkansas Securities Commissioner as it relates to school bonds offered by the school districts for which it is acting as a fiscal agent. |
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C-03-015-03-CD01 4/17/2003 |
UNITED MORTGAGE CONSULTANTS, INC., LITTLE ROCK, AR Cease and Desist Order and revocation of mortgage loan company registration application. |
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03-80004328-OR28 4/4/2003 |
NEA TIRE CENTER, INC. Order Providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12). |
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S-03-012-03-CD01 4/2/2003 |
HOPEHILL EQUITY HOLDINGS, INC., ERNESTO W. LETIZIANO, HOPE E. HILLABRAND, BERENS & COMPANY, AND MARC IVAN BERENS Cease and Desist Order pertaining to the offer or sale of unregistered securities. |
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80004311 3/31/2003 |
GULLANE CAPITAL LLC. Order excluding corporation from investment adviser definition pursuant to Ark. Code Ann. § 23-42-102(8)(F). |
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S-03-008-03-CD01 3/19/2003 |
ASSET PLANNING GROUP; Cease and Desist Order for transacting business as a broker-dealer or agent without being registered. |
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C-03-007-03-CD01 3/17/2003 |
OAK FOREST FINANCIAL CORPORATION, CONWAY, AR Cease and Desist Order and revocation of mortgage loan company registration application. |
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C-02-029-03-CD02 3/4/2003 |
JODY DAVIS Cease and Desist Order issused for Jody Davis to immediately cease and desist from transacting any business of a mortgage loan company or loan broker in Arkansas. |
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03-80004224-OR006 1/22/2003 |
JEFFERSON SURGERY CENTER PLLC Order providing a waiver of certain provisions of the exemption pursuant to Ark. Code Ann. § 23-42-504(a)(9). |
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C-03-001-03-CD01 1/10/2003 |
DIVERSIFIED CAPITAL CORPORATION OF TENNESSEE D/B/A AMERICA'S LENDING CENTER Cease and Desist Order and revocation of mortgage loan company exemption from registration pursuant to Ark. Code Ann. § 23-39-306(a)(4). |
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