Arkansas Securities Department

Order providing a transactional exemption from registration for a purposed offering and sale of capital stock pursuant to Ark. Code Ann. §23-42-504(a)(12).

A Consent Order entered in connection with violations of the Arkansas Securities Act pertaining to the selling of securities without the filing of a proof of exemption or paying the required filing fees.

Order Affirming Cease and Desist

A Consent Order revoking the mortgage broker license of Boardwalk Mortgage Group, LLC., and accepting the surrender of the loan officer licenses of Samuel Aaron Mitchell and Kevin Ryan Abernathy.

A Consent Order entered in connection with violations of the Arkansas Securities Act pertaining to providing investment advisory services prior to being registered.

Order to show cause and notice of hearing on civil penalty under allegations that Dartmouth Capital, LLC has violated Ark. Code Ann. § 23-55-401 of the Arkansas Uniform Money Services Act. 

Order prescribing registration modifications for November 1, 2008 transition to the NMLS, a nationwide automated licensing system.

A Consent Order entered in connection with violations of the Arkansas Securities Act pertaining to sales of securities in excess of amounts allowed under exemptions, advertising, and failure to supervise.

Order waiving certain conditions under Ark. Code Ann. §  23-42-504(A)(9).

Cease and Desist Order pertaining to the offer or sale of unregistered securities.

Cease and Desist Order pertaining to the offer or sale of unregistered securities.

Cease and Desist Order pertaining to the offer or sale of unregistered securities and from advertising the sale of unregistered securities.

Cease & Desist order alleging that Timothy Lilly d/b/a as Covenant Senior Advisors, LLC and other staff have violated the provisions of the Act under Ark. Code Ann. § 23-42-101 to 501.

Consent Order entered in connection with violations of Ark. Code Ann. § 23-42-501 in connection with the sales of unregistered securities and §§ 23-42-301(e) and 23-42-308(a)(2)(J) for violating the supervision requirements.

Cease & Desist order based on evidence that Lilly, Puckett, Richards and staff associated with them have violated provisions of the Arkansas Securities Act under Ark. Code Ann. §§ 23-42-100 through 23-42-509.

An amended and substituted consent order pursuant to the Arkansas Securities Act, codified at Ark. Code Ann. § 23-42-101 regarding full settlement of claims that could be brought against Mitchell.

A Revocation Order for the temporary suspension of a license of Amerifund Financial as a mortgage banker and mortgage broker. 

A Revocation Order and Order to Cease & Desist based on Snodgrass' submission of applications for licenses to the Department containing false statements. 

Order for the revocation of a mortgage broker license for cancelation of a surety bond.

Consent Order entered into by Girosol of Kentucky Corporation regarding the admission of jurisdiction under the Act pursuant to Ark. Code Ann. § 23-55-101.

Consent Order pursuant to Ark. Code Ann. Section 23-55-101 in lieu of a hearing and full settlement of all claims that could be brought against JOM Corp by the staff.

Consent order codified at Ark. Code Ann. § 23-42-101 in full settlement of all the claims that could be brought against Mitchell by the staff.

Consent Order by WiFiMed pursuant to Ark. Code Ann. § 23-42-101 for full settlement of all claims that could be brought against WiFiMed by the staff.

Cease & Desist Order based on evidence that Hatchett d/b/a Luca Fund and others have violated provisions of the Act codified Ark. Code Ann. § 23-42-101.

Order summarily suspending license of Deocap Corp. alleging that the company failed to maintain a surety bond as required by Fair Mortgage Lending Act, Ark. Code Ann. § 23-39-501.

Order to show cause and notice of hearing on civil penalty under allegations that JOM Corp has violated Ark. Code Ann. § 23-55-201 of the Arkansas Uniform Money Services Act.

Order to show cause under allegations that Girosol has violated Ark. Code Ann § 23-55-101 of the Arkansas Uniform Money Services Act.

Order summarily suspending the license due to allegations that Amerifund Financial, Inc. d/b/a Allfund Mortgage failed to maintain a surety bond as required by the Fair Mortgage Lending Act, Ark. Code Ann. § 23-39-501.

Order suspending licenses based on allegations that Wesley Snodgrass submitted false and misleading material information to the commissioner in connection with an application for a mortgage broker license.

Cease & Desist Order based on information received by the department that indicates that Dennis Vinciguerra, D-VAL, LLC, and D-VAL Construction & Real Estate Investments have violated provisions of the Arkansas Securities Act, Ark. Code Ann. § 23-42-101.