Administrative Orders

Year 2017


S-17-0033-OR01
11/27/2017

YIELD WEALTH and CHARLES KOCHEL

Consent order entered in connection with violations of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner.

S-17-0044-17-OR01
11/21/2017

FIRST STANDARD FINANCIAL COMPANY, LLC

A Consent Order entered in connection with violations of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner concerning the failure to provide information pursuant to written requests from the Department’s Staff.

C-17-0108-17-OR01
11/2/2017

AURORA FINANCIAL GROUP, INC.

Consent order entered in connection with unlicensed mortgage loan servicing activity in violation of the Arkansas Fair Mortgage Lending Act.

S-17-0105-17-OR01
10/30/2017

CADRON CAPITAL PARTNERS LLC and

CADRON CAPITAL PARTNERS FUND MANAGER LLC

Order approving a limited registration for Cadron Capital Partners Fund Manager to transact business as an adviser to the private fund operated by Cadron Capital Partners.

C-17-0122-17-OR01
10/25/2017

LICENSURE OF DUSTIN HEATH COOLEY

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Dustin Heath Cooley, with State Farm Bank, F.S.B.

S-17-0032-17-OR02
10/25/2017

MALIK AKBAR (A.K.A. TYRONE WILLIAMS); AKBAR & ASSOCIATES LEGAL CORPORATION; and INTEGRITY BENEFITS SOLUTION CORP.

A Cease and Desist Order directing the Respondents to stop engaging in unregistered securities activity and to refrain from committing securities fraud in connection with the offer or sale of any security in Arkansas.

S-16-0056-17-OR01
10/19/2017

KIMBERLY DAWN SMITH

Consent order entered concerning violations of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner involving a failure to follow the firm's compliance policy.

C-14-0020-17-OR03
10/16/2017

OCWEN LOAN SERVICING, LLC and

OCWEN MORTGAGE SERVICING INC.

Consent order entered in final settlement of Cease and Desist Order No. C-14-0020-17-OR02 dated April 20, 2017, in connection with stated violations of the Arkansas Fair Mortgage Lending Act.

C-17-0114-17-OR01
10/9/2017

LICENSURE OF MEGAN PERKINS PERRYMAN , WITH STATE FARM BANK, F.S.B

Order approving licensure of Megan Perkins Perryman, with State Farm Bank, F.S.B.

S-17-0106-17-OR01
10/5/2017

AMIE ELIZABETH FIELDER

A consent order entered in connection with violations of the Arkansas Securities Act.

S-17-0079-17-OR01
10/5/2017

ANDREW HARDIE

Consent order entered into with Andrew Hardie in connection with his unsuitable recommendations while acting as an investment adviser representative and broker-dealer agent that clients purchase and hold for extended periods of time certain Non-traditional exchange traded fund (Non-Traditional EFTs). It was also found that the client accounts had excessive concentration levels of these products.

C-17-0109-17-OR01
10/3/2017

LICENSURE OF MICHAEL ROBERT SPAIN,

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Michael Robert Spain, with State Farm Bank, F.S.B.

S-17-0095-17-OR01
10/3/2017

INTEGRATED HEALING TECHNOLOGIES, LLC

Consent order entered against an issuer of covered securities for a late notice filing with the Department.

S-17-0086-17-OR01
9/21/2017

DAVID WILLIAM DALTON

A consent order entered in connection with violations of the Arkansas Securities Act.

S-14-0008-17-OR04
9/21/2017

REGAL SECURITIES, INC.

A consent order in connection with violations of the Arkansas Securities Act.

S-17-0102-17-OR01
9/14/2017

ARKANSAS PROVIDER COALITION, LLC

Order entered granting a transactional exemption pursuant to Ark. Code Ann. §§ 23-42-504(a)(9) and 23-42-504(a)(9)(B).

S-17-0097-17-OPR01
9/12/2017

MENGUIN, INC.

Consent order entered against an issuer of covered securities for a late notice filing with the Department.

C-17-0099-17-OR01
9/7/2017

LICENSURE OF ZACHARY TAYLOR JOHNSON

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Zachrey Taylor Johnson with State Farm Bank, F.S.B.

S-17-0090-17-OR01
8/24/2017

ATLAS RESOURCES SERIES 28-2010 L.P.,

ATLAS RESOURCES PUBLIC 18-2009(B) L.P. and

ATLAS RESOURCES PUBLIC 18-2009(C) L.P.

Order entered granting a transactional exemption pursuant to Ark. Code Ann. § 23-42-504(a)(12).

C-17-0089-17-OR01
8/23/2017

LICENSURE OF JOHN MANSFIELD,

WITH STATE FARM BANK, F.S.B.

Order approving licensure of John Mansfield with State Farm Bank, F.S.B.

C-17-0087-17-OR01
8/11/2017

LICENSURE OF DANIEL CLAYTON FLETCHER,

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Daniel Clayton Fletcher with State Farm Bank, F.S.B.

S-17-0072-17-OR01
8/1/2017

STRAWBERRY FIELDS, L.L.C.

Consent order entered against an issuer of covered securities for a late notice filing with the Department.

S-14-0071-17-OR01
7/25/2017

MULLEN TECHNOLOGIES, INC.

Consent order entered against an issuer of covered securities for a late notice filing with the Department.

S-17-0076-17-OR01
7/12/2017

REGISTRATION OF DANIEL S. HOLOM

WITH ALLSTATE FINANCIAL SERVICES, LLC

Order approving registration of Daniel S.Holom with Allstate Financial Services, LLC.

S-17-0067-17-OR01
7/12/2017

CRAVE INNOVATIONS, INC.

Consent order entered against an issuer of covered securities for a late notice filing with the Department.

S-17-0073-17-OR01
7/7/2017

DARREN ROSS KEY

Order entered approving a limited agent registration.

S-17-0074-17-OR01
7/7/2017

MICHAEL DAVID KOCOLOWSKI

Order entered approving a limited agent registration.

C-17-0070-17-OR01
6/28/2017

LICENSURE OF BRANDON SCOTT BAXTER,

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Brandon Scott Baxter with State Farm Bank, F.S.B.

S-17-0060-17-OR01
6/12/2017

MAVEN ROYALTY FUND, LP

Consent order entered against an issuer of covered securities for a late notice filing with the Department.

S-17-0027-17-OR01
5/23/2017

PE PREMIER CARLYLE DISTRESSED

OPPORTUNITIES IV ONSHORE FEEDER L.P.

Consent order entered against an issuer of covered securities for a late notice filing with the Department.

S-17-0047-17-OR01
5/16/2017

ALIGN DEBT FUND V, LP

Consent order entered against an issuer of covered securities for a late notice filing with the Department.

C-17-0057-17-OR01
5/15/2017

LICENSURE OF KEITH DOUGLAS BROOKS,

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Keith Douglas Brooks with State Farm Bank, F.S.B.

S-17-0050-17-OR01
5/3/2017

RORY TRENT VIRCKS

Order entered approving a limited agent registration.

S-17-0049-17-OR01
5/2/2017

ACADIAN WEALTH MANAGEMENT, LLC AND GERALD JOSEPH CROCHET

A Consent Order entered in connection with violations of the Arkansas Securities Act.

C-17-0048-17-OR01
5/1/2017

LICENSURE OF BRIANNE RENEE ROHRIG

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Brianne Renee Rohrig with State Farm Bank, F.S.B.

C-17-0046-17-OR01
4/27/2017

LICENSURE OF LONNIE WARREN DEXTER

GRANTHAM,WITH STATE FARM BANK, F.S.B.

Order approving licensure of Lonnie Warren Dexter Grantham with State Farm Bank, F.S.B.

C-17-0038-17-OR01
4/24/2017

LICENSURE OF KRISTIN NICOLE TAYLOR

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Kristin Nicole Taylor with State Farm Bank, F.S.B.

C-14-0020-17-OR02
4/20/2017

OCWEN LOAN SERVICING, LLC

NMLS NO. 1852 and OCWEN MORTGAGE

SERVICING INC., NMLS No. 1089752

A cease and desist order finding violations of the Arkansas Fair Mortgage Lending Act and prohibiting the acquisition of new mortgage servicing rights and origination of new mortgage loans.

S-17-0036-17-OR01
4/3/2017

MARTHA E. CAVARRETTA

Order entered approving a limited agent registration.

S-17-0035-17-OR01
4/3/2017

RAINIER V. RAY

Order entered approving a limited agent registration.

C-17-0042-17-OR01
3/29/2017

LICENSURE OF CHRISTOPHER KELLY BRYANT

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Christopher Kelly Bryant with State Farm Bank, F.S.B.

S-17-0037-17-OR01
3/23/2017

BRIAN EDWARD ROSER

Order entered approving a limited agent registration.

S-14-0097-17-OR03
3/21/2017

TIMOTHY ALONZA LILLY, and

BLW DEBT RESOLUTION LLC and RENU by BNT, LLC

A cease and desist order finding the sale of unregistered securities through securities fraud and directing the respondents to stop offering and selling unregistered securities. The order acknowledges the request of the Staff of the Arkansas Securities Department for fines of $320,000 and provides that the request will be considered at a hearing, which will be set by a separate order.

S-16-0061-17-OR01
3/15/2017

ADAM CURRY SMITH

Consent order entered concerning violations of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner involving accepting substantial gifts from a client and violating firm complaince policy.

S-17-0026-17-OR01
3/15/2017

LUMOXCHANGE LLC

Consent order entered against an issuer of covered securities for a late filing with the Department.

S-16-0108-17-OR01
3/13/2017

PROEQUITIES, INC. and AARON JOHN FULTON

Consent order entered concerning unregistered agent activity in violation of the Arkansas Securities Act.

C-17-0010-17-OR01
3/13/2017

SUNTRUST MORTGAGE, INC.

Consent order entered in connection with violations of the Arkansas Fair Mortgage Lending Act regarding unlicensed mortgage loan officer activity.

C-17-0029-17-OR01
3/7/2017

LICENSURE OF JEFFREY GREGG MILLERD

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Jeffrey Gregg Millerd with State Farm Bank, F.S.B.

S-15-0042-17-OR02
3/7/2017

LAMARCUS RHASHAUN COLEMAN; AUGUSTUS CAPITAL MANAGEMENT, LLC; AND COLEMAN & CO, LLC

A cease and desist order directing the respondents  to stop engagng in unregistered securities activity and to refrain from committing fraud or deceit in connection with the offer or sale of any security in Arkansas.

S-17-0019-17-OR01
3/3/2017

EUROPEAN HEDGE FUND LLC

Consent order entered against an issuer of covered securities for a late notice filing with the Department.

S-16-0103-17-OR01
2/14/2017

DOUGLAS E. ANDERSON

Consent order denying respondents application as an investment adviser representative for failing to disclose liens and civil judgements in violation of the Arkansas Securities Act.

S-17-0021-17-OR01
2/8/2017

LAWSON FINANCIAL CORPORATION

Summary order canceling registration entered by the Arkansas Securities Commissioner canceling the broker-dealer registration of Lawson Financial Corporation in the state of Arkansas.

S-17-0001-17-OR01
1/27/2017

OVATION ALTERNATIVE INCOME FUND LP

Consent order entered against an issuer of covered securities for a late notice filing with the Department.

C-17-0013-17-OR01
1/23/2017

LICENSURE OF BRYNN ANTHONY HOBBS

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Brynn Anthony Hobbs with State Farm Bank, F.S.B.

C-17-0011-17-OR01
1/20/2017

LICENSURE OF PHILLIP KEITH POOL

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Phillip Keith Pool with State Farm Bank, F.S.B.

C-17-0012-17-OR01
1/20/2017

LICENSURE OF TREVOR LEE PINKSTON

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Trevor Lee Pinkston with State Farm Bank, F.S.B.

C-17-0009-17-OR01
1/19/2017

LICENSURE OF JINGER THERESA STEWART

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Jinger Theresa Stewart with State Farm Bank, F.S.B.

C-17-0006-17-OR01
1/12/2017

LICENSURE OF QUEDO G. PERNA,

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Quedo G. Perna with State Farm Bank, F.S.B.

C-16-0116-17-OR01
1/11/2017

LICENSURE OF ETHAN JAMES GAMMILL

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Ethan James Gammill with State Farm Bank, F.S.B.

C-17-0004-17-OR01
1/11/2017

LICENSURE OF JAMES CRAIG CAMPBELL

WITH STATE FARM BANK, F.S.B.

Order approving licensure of James Craig Campbell with State Farm Bank, F.S.B.

C-17-0005-17-OR01
1/11/2017

LICENSURE OF HALEY RAE BERRY

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Haley Rae Berry with State Farm Bank, F.S.B.

S-16-0095-17-OR02
1/9/2017

RICHARD BLAIR, and

WEALTH SOLUTIONS, INC.

A cease and desist order directing the respondents to cease and desist all investor advisory activity in the state of Arkansas until such time that they are properly registered under the Arkansas Securities Act.

C-17-0002-17-OR01
1/5/2017

LICENSURE OF NICHOLAS HENRY ROUGEAU

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Nicholas Henry Rougeau with State Farm Bank, F.S.B.

C-17-0000-17-OR01
1/3/2017

LICENSURE OF AUSTIN FLINT BARR IV

WITH STATE FARM BANK, F.S.B.

Order approving licensure of Austin Flint Barr IV with State Farm Bank, F.S.B.


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