Administrative Orders
Year 2004
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04-90000329-NA012 12/30/2004 |
MORGAN KEEGAN COMPANY, INC. Order granting exemption from Rule 308.01(F) of the Rules of the Arkansas Securities Commissioner in relation to school bonds for school districts for which it serves as a fiscal agent. |
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04-90000328-NA011 12/30/2004 |
STEPHENS, INC. Order granting exemption from rule 308.01(F) of the Rules of the Arkansas Securities Commissioner in relation to school bonds offered by school districts for which it serves as a fiscal agent. |
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04-80005277-OR010 12/29/2004 |
CITY PLUMBING AND ELECTRIC, INC. Order providing a transactional exemption from registration on the proposed offering and sale of stock in City Plumbing and Electric, Inc. to Richard Bonte, Ronald Carroll and Elwen Guthrie pursuant to Ark. Code Ann. §23-42-504(a)(12). |
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S-04-099-04-CO01 12/29/2004 |
ALBERT JOSEPH GORNATTI, JR Consent Order entered pursuant to Ark. Code Ann. § 23-42-101 in full settlement of all claims that could be brought against Albert Joseph Gornatti Jr. by the staff for misappropriated funds. |
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04-90000327-NA010 12/29/2004 |
CREWS AND ASSOCIATES, INC. Order granting exemption from rule 308.01(F) of the Rules of the Arkansas Securities Commissioner in relation to school bonds offered by school districts for which it serves as a fiscal agent. |
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04-80005293-OR011 12/29/2004 |
PARK HILL INVESTMENTS, INC. Order providing a transactional exemption from registration on the proposed offering and sale of stock of Park Hill Investments, Inc. to Clay Crain pursuant to Ark. Code Ann. §23-42-504(a)(12). |
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04-80005276-OR009 12/22/2004 |
OTOLARYNGOLOGY AND FACIAL SURGERY CENTRE OF NORTHEAST ARKANSAS, P.A. Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12). |
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S-04-090-04-CD01 12/7/2004 |
WEBB FINANCIAL SERVICES, WILLIAM WESLEY "BILL" WEBB III AND WILLIAM WESLEY HODGES Cease and Desist Order pertaining to the offer or sale of investment contracts and other unregistered securities. |
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04-80005240-OR008 12/6/2004 |
GUSS BLASS, II Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(8). |
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C-04-096-04-CD01 11/29/2004 |
MOBILITY FINANCIAL, LLC D/B/A PARTNERSFIRST MORTGAGE, NEWBURYPORT, MA Cease and Desist Order and Revocation of Mortgage Broker License # 11392. |
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04-80005192-OR007 11/15/2004 |
V INTERNATIONAL, INC. Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12). |
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04-80005182-OR006 10/28/2004 |
AMARK ENGINEERING & MANUFACTURING, INC. Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12). |
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S-04-090-04-OI01 10/28/2004 |
WEBB FINANCIAL SERVICES, WILLIAM WESLEY WEBB, III AND ALL PERSONS EMPLOYED BY OR OTHERWISE AFFILIATED OR ASSOCIATED WITH IT IN ANY WAY Order directing investigation and empowering officers. |
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C-04-089-04-FO01 10/13/2004 |
MARK G. JACKSON, LOAN OFFICER'S LICENSE NO. 15600 AN EMPLOYEE OF KINGRIDGE FINANCIAL MORTGAGE Final Order entered suspending the loan officer license of Respondent, Mark G. Jackson. |
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C-04-040-04-OR02 9/9/2004 |
SOUTHWEST FUNDING, LP, F/K/A TEXAS RESIDENTIAL MORTGAGE, LP, DALLAS, TEXAS Order vacating suspension of license. |
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04-80005085-OR005 9/9/2004 |
GUS BLASS, III Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(8). |
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C-04-089-04-OR01 8/31/2004 |
MARK G. JACKSON, LOAN OFFICER'S LICENSE NO. 15600, AS AN EMPLOYEE OF KINGRIDGE FINANCIAL MORTGAGE Order suspending loan officer license. |
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C-04-054-04-RV01 8/31/2004 |
COACHELLA VALLEY MORTGAGE CENTER D/B/A FINANCIAL HERITAGE; AND DIANA GUCCIARDO, D/B/A/ FINANCIAL HERITAGE AND D/B/A/ SAFE MONEY MANAGEMENT Order to vacate portion of Order No. C-04-054-04-CD01 pertaining to Diana Gucciardo. |
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04-90000323-NA006 8/12/2004 |
CREWS AND ASSOCIATES, INC. Order granting exemption from Rule 308.01(F) of the Rules oft he Arkansas Securities Commissioner allowing the company to bid on the purchase of bonds for school districts for which is acts as a fiscal agent. |
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04-80004956-OR004 7/6/2004 |
THOUSAND ONE LLC Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12). |
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C-04-025-04-RC01 6/21/2004 |
U.S. MORTGAGE, LAS VEGAS, NEVADA Order to vacate Order No. C-04-025-04-OR01. |
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04-90000321-NA004-A 6/17/2004 |
ARKANSAS SECURITY CAPITAL CORPORATION Amended and Substituted Order declaring registration effective pursuant to Ark. Code Ann. § 23-42-403. |
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S-03-026-04-FO01 6/15/2004 |
INVESTORS TRADING CORPORATION, D/B/A OXFORD FINANCIAL GROUP, JAMES WILLARD CLARK, AND DANIEL FORREST BARRETT Final Order revoking licenses of Oxford Financial Group and Daniel Forrest Barrett. |
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S-03-026-04-CO01 6/15/2004 |
INVESTORS TRADING CORPORATION, D/B/A OXFORD FINANCIAL GROUP, JAMES WILLARD CLARK AND DANIEL FORREST BARRETT Consent Order pursuant to Ark. Code Ann. § 23-42-308(a)(2)(J)(Repl. 2000). |
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S-03-012-04-FO04 5/28/2004 |
HOPEHILL EQUITY HOLDINGS, INC., BERENS & COMPANY, AND MARC IVAN BERENS Amended and Substituted Cease and Desist Order. |
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04-80004778-OR003 5/25/2004 |
HALO, INC., HALO SPARK PLUGS, INC., JAMES E. JOHNSON, EVA L. JOHNSON, BOLLINGER FAMILY TRUST Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12). |
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C-078-04-OR01 5/11/2004 |
PINNACLE MORTGAGE INVESTMENTS; LICENSE NO. 11131 Order interpreting the minimum experience qualifications pursuant to Ark. Code Ann. §§ 23-39-508(B) and 23-39-505(C)(1). |
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C-04-024-04-RC01 4/30/2004 |
HOMEQ SERVICING CORPORATION Order vacating suspension of license. |
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C-04-076-04-OR01 4/23/2004 |
ARKANSAS FAIR MORTGAGE LENDING ACT, ARK. CODE ANN. § 23-39-505(c)(1) Order regarding the minimum experience qualifications of certain mortgage loan company branch managers. |
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C-04-026-04-OR02 4/14/2004 |
WASHTENAW MORTGAGE COMPANY, ANN ARBOR, MICHIGAN Order vacating suspension of license. |
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C-04-012-04-RC01 4/13/2004 |
LOW COST LENDING, INC., CANOGA PARK, CA Order vacating suspension of license. |
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C-04-042-04-OR02 4/13/2004 |
TOWER MORTGAGE AND FINANCIAL SERVICES CORPORATION SILVER SPRING, MD Order vacating suspension of license. |
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C-04-043-04-OR02 4/13/2004 |
ESI MORTGAGE, LP AUSTIN, TX Order vacating suspension of license. |
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C-04-049-04-OR02 4/13/2004 |
QUOTEMEARATE.COM, INC. HOUSTON, TEXAS Order vacating suspension of license. |
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15039-CS 3/31/2004 |
PERSONS MAKING ONLY NON-RESIDENTIAL MORTGAGE LOANS OR COMMERCIAL LOANS Order exempting persons who make only non-residential mortgage loans pursuant to Ark. Code Ann. § 23-39-502(6)(B)(xviii). |
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C-04-020-04-OR02 3/30/2004 |
FEDERATED HOME MORTGAGE, INC. ALPHARETTA, GA Order vacating suspension of license. |
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C-04-054-04-CD01 3/16/2004 |
COACHELLA VALLEY MORTGAGE CENTER, D/B/A FINANCIAL HERITAGE; AND DIANA GUCCIARDO, D/B/A FINANCIAL HERITAGE AND D/B/A SAFE MONEY MANAGEMENT Cease and Desist Order. |
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C-04-019-04-OR01 3/5/2004 |
GOLDEN FIRST MORTGAGE CORP. LICENSE NO. 10338 Order suspending license. |
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C-04-024-04-OR01 3/5/2004 |
HOMEQ SERVICING CORPORATION LICENSE NO. 10652 Order suspending license. |
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C-04-025-04-OR01 3/5/2004 |
U.S. MORTGAGE LICENSE NO. 10671 Order suspending license. |
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C-04-009-04-OR01 3/5/2004 |
1ST PALM FINANCIAL SERVICES, LLC Order suspending license. |
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C-04-012-04-OR01 3/5/2004 |
LOW COST LENDING, INC. Order suspending license. |
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C-04-016-04-OR01 3/5/2004 |
ADVANTAGE HOME LENDING, LLC Order suspending license. |
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C-04-018-04-OR01 3/5/2004 |
PREMIUM MORTGAGE, INC. Order suspending license. |
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C-04-022-04-OR01 3/5/2004 |
UNITED CAPITAL MORTGAGE CORP. Order suspending license. |
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C-04-036-04-OR01 3/5/2004 |
PROGRESSIVE MORTGAGE LENDING, INC. Order suspending license. |
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C-04-037-04-OR01 3/5/2004 |
WALTERS MORTGAGE, INC. Order suspending license. |
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C-04-043-04-OR01 3/5/2004 |
ESI MORTGAGE, LP Order suspending license. |
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C-04-044-04-OR01 3/5/2004 |
HOMEPRIDE MORTGAGE, LP Order suspending license. |
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C-04-050-04-OR01 3/5/2004 |
FINANCIAL CONCEPTS, LLC Order suspending license. |
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C-04-026-04-OR01 3/5/2004 |
WASHTENAW MORTGAGE COMPANY LICENSE NO. 10707 Order suspending license. |
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C-04-028-04-OR01 3/5/2004 |
SOUTHERN STATES MORTGAGE CO., INC. Order suspending license. |
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C-04-014-04-OR01 3/5/2004 |
MANUMAC RETAIL SERVICES, INC. Order suspending license. |
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C-04-042-04-OR01 3/5/2004 |
TOWER MORTGAGE AND FINANCIAL SERVICES CORPORATION Order suspending license. |
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C-04-049-04-OR01 3/5/2004 |
QUOTEMEARATE.COM, INC. Order suspending license. |
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C-04-010-04-OR01 3/5/2004 |
ASHLEY MORTGAGE COMPANY Order suspending license. |
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C-04-013-04-OR01 3/5/2004 |
BOMAC MORTGAGE HOLDINGS, L.P. Order suspending license. |
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C-04-020-04-OR01 3/5/2004 |
FEDERATED HOME MORTGAGE, INC. Order suspending license. |
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C-04-038-04-OR01 3/5/2004 |
CCSF, LLC Order suspending license. |
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C-04-040-04-OR01 3/5/2004 |
TEXAS RESIDENTIAL MORTGAGE, LP Order suspending license. |
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C-04-041-04-OR01 3/5/2004 |
CREST MORTGAGE COMPANY Order suspending license. |
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C-04-045-04-OR01 3/5/2004 |
COVENANT FINANCIAL, LLC Order suspending license. |
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S-04-008-04-CD01 3/4/2004 |
SEED INTERNATIONAL, LTD., OCEAN INTERNATIONAL MARKETING, LTD., ARCHITECTS OF WINE, LTD., CRAIG GARRETT, CARL SNAPE, RYAN FERREIRA, JASON SCHMIDT, CHRIS ELS AND ALL PERSONS EMPLOYED BY OR OTHERWISE AFFILIATED WITH THOSE ENTITIES OR THOSE PERSONS Cease and Desist Order. |
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04-80004757-OR002 3/4/2004 |
HANOVER COMPRESSOR COMPANY AND GKH INVESTMENTS, L.P. Order providing a securities exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(12). |
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04-90000321-NA004 1/28/2004 |
ARKANSAS SECURITY CAPITAL CORPORATION Order declaring registration effective pursuant to Ark. Code Ann. § 23-42-403. |
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04-90000320-NA002 1/27/2004 |
MORGAN KEEGAN COMPANY, INC. Order granting exemption from rule 308.01(F) of the Rules of the Arkansas Securities Commissioner in relation to school bonds offered by school districts for which it serves as a fiscal agent. |
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04-90000319-NA003 1/27/2004 |
STEPHENS, INC. Order granting exemption from rule 308.01(F) of the Rules of the Arkansas Securities Commissioner in relation to school bonds offered by school districts for which it serves as a fiscal agent. |
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04-90000318-NA001 1/15/2004 |
DELEGATION OF DUTIES OF THE SECURITIES COMMISSIONER TO ANN MCDOUGAL, DEPUTY COMMISSIONER |
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