Source: http://securities.arkansas.gov/legal/orders/default.asp?year=2006&type=2
Timestamp: 2018-05-26 06:06:57
Document Index: 573796385

Matched Legal Cases: ['§ 23', '§ 23', '§ 23', '§ 23', '§ 23', '§ 23', '§ 23', '§ 25', '§ 23', '§ 23', '§ 23', '§ 23', '§ 23', '§ 23', '§ 23']

C-06-032-CD01
JUDY J. DUGGAN, AN UNLICENSED MORTGAGE LOAN BROKER
Order to cease & desist based on evidence presented to the Department to conclude that Judy J. Duggan engaged in unlicensed mortgage loan brokering activities in violation of the Arkansas Fair Mortgage Lending Act and in violation of an order entered by the Commissioner in February of 2006.
06-80006766-OR006
Order providing registration pursuant to Ark. Code Ann. § 23-42-504(a)(8).
06-90000350-NA008
Order granting exemption from Rule 308.01(F) of the rules of the Arkansas Securities Commissioner in relation to school bonds offered by the school districts as a fiscal agent.
S-04-085-06-CD01
WAVE ENERGY CORPORATION, A/K/A WAVE ENERGY, INC., JEFFREY SCOTT RAND AND ALL PERSONS EMPLOYED BY OR OTHERWISE AFFILIATED WITH THAT ENTITY OR JEFFREY SCOTT RAND
Cease & Desist Order based on evidence received by the Department which indicates that Wave Energy, Inc. and Jeffrey Scott Rand have violated the provisions of the Arkansas Securities Act, pursuant to Ark. Code Ann. Section 23-42-101.
06-90000349-NA007
Order granting exemption from Rule 308.01(F) of the rules oft he Arkansas Securities Commissioner allowing it to bid on the purchase of bonds for school districts while acting as a fiscal agent.
06-90000348-NA006
Order granting exemption from rule 308.01(F) of the Rules of the Arkansas Securities Commissioner allowing it to bid on the purchase of bonds for school districts for which it acts as a fiscal agent.
06-80006744-OR005
SOUTHWEST ARKANSAS WATER SYSTEM, INC.
Order providing a transactional exemption from registration on the proposed sale of two bonds pursuant to Ark. Code Ann.§ 23-42-504(a)(12).
S-04-082-06-CD01
NATIONAL CONSUMER MORTGAGE, LLC; SALVATORE FAVATA A/K/A SAM FAVATA; SANDRA FAVATA, PRESIDENT AND ROBERT BRYANT
Order to Cease & Desist based on evidence in possession of the department that indicates that National Consumer Mortgage, LLC, Salvatore Favata, Sandra L. Favata and Robert O. Bryant have violated provisions of the Arkansas Securities Act, Ark. Code Ann. § 23-42-101.
06-80006679-OR004
Order providing a waiver of certain provisions of the exemption pursuant to Ark. Code Ann. § 23-42-504(a)(9) for proposed sales of member interests to surgeons, anethesiologists or other physicians that meet the qualifications.
S-06-021-06-CD01
THE AVEDIS GROUP, INC.; A FREEDOM TEAM MORTGAGE COMPANY, INC.; A/K/A A~FREEDOM TEAM MORTGAGE COMPANY INC.; AND AFTMORTGAGE.NET; TT AND T, LLC; THOMAS FINANCIAL, LLC; GDC, LLC; MARK LEAMON THOMAS, TRENT DODDS, BETTY KITCHEN, JIM BEACH, TONY CASTEEL, GARY DUPLANTIS AND ALL PERSONS EMPLOYED BY OR OTHERWISE AFFILIATED WITH THOSE ENTITIES OR PERSONS
Cease & Desist Order based on evidence in the Department's possession which indicates that the Avedis Group, Inc., A Freedom Team Mortgage Company, Thomas Financial, LLC, Mark Leamon Thomas, Trend Dodds, Betty Kitchen, Jim Beach, Tony Casteel and Gary Duplantis have violated provisions of the Arkansas Securities Act, codified Ark. Code Ann. § 23-42-101.
C-06-022-06-CD01
A FREEDOM TEAM MORTGAGE COMPANY, INC., A/K/A A~FREEDOM TEAM MORTGAGE COMPANY INC., AND AFTMORTGAGE.NET; BETTY KITCHEN; MARK LEAMON THOMAS; AND TRENT DODDS
Cease & Desist Order stemming from failiure to comply with proper licensing requirements under the FMLA which includes conducting business without a license, falsifying documents, submitting false statements to staff and continuing to conduct mortgage activity after staff advised the company to cease until a license was issued.
S-06-009-06-CD01
CLIFFORD WAYNE PITTS, A/K/A CLIFF PITTS, A/K/A C.W. PITTS D/B/A WESTERN ARIZONA RETIREMENT ASSOCIATES AND DONNA K. BISHOP A/K/A DONNA PITTS
Cease & Desist Order based on the Department's possession of certain evidence which indicates that Clifford Wayne Pitts and Donna K. Bishop have violated the provisions oft he Arkansas Securities Act, codified at Ark. Code Ann. § 23-42-101.
06-80006540-OR0003
Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504(a)(8) as an insitutional buyer.
C-06-031-06-FO01
CHARLES MARTON RUSK
Order denying renewal application for a loan officer in light of the respondent submitting false and misleading information to the commissioner under the Arkansas Fair Mortage Lending Act, Ark. Code Ann. § 25-39-501.
S-06-015-06-CD01
CHRISTOPHER A. HOGAN, A/K/A CHRIS HOGAN, A/K/A CHRIS BIG POPPA HOGAN, CRUNKLAND RECORDS, LTD., ROLFUND.COM, AND ALL PERSONS OR ENTITIES EMPLOYED BY OR OTHERWISE AFFILIATED WITH THEM
Summary Order to Cease & Desist based on certain evidence in the Department's possession which indicates that Chris Hogan, Crunkland Records, Ltd. and all persons or entities employed or otherwise affiliated with them either have engaged in or are about to engage in Acts that constitute violations of the provisions of the Arkansas Securities Department, Ark. Code Ann. § 23-42-101.
S-05-028-06-CO01
Consent order entered pursuant to the Arkansas Securities Act, Codified at Ark. Code Ann. § 23-42-101 in an agreement with the Department and Marshell Earl Miller in full settlement of all claims that could be brought against him by the staff.
C-06-018-06-CD02
WESLEY STEVEN SNODGRASS, FORMER PRESIDENT & OWNER OF TBS INVESTMENTS, INC. D/B/A AMERICAN RESIDENTIAL MORTGAGE
Cease & Desist Order based on allegations that the respondent failed to comply with the licensing requirements of the Act including conducting business in the state without a loan officer license which is in violation of the order suspending license C-06-018-06-CD01.
C-05-037-06-OR01
KEITH W. THOMAS, INDIVIDUALLY & D/B/A FREEDOM NOTE LIQUIDATION
Modification of Cease & Desist Order against Keith W. Thomas for violation of the FMLA, Ark. Cod Ann. § 23-39-501 affirming in part and overruling in part. Thomas will be granted a conditional loan officer license upon submission of a complete and correct application.
C-06-023-06-CD01
GLEN ROBERTSON, AN EMPLOYEE OF UNION MORTGAGE, INC.
Cease & Desist Order based on allegations that the respondent has failed to comply with the proper licensing requirements of the Act and evidence that the respondent continued to conduct business within the state after the expiration of his license.
C-05-037-06-CD01
KEITH W. THOMAS, INDIVIDUALLY & D/B/A FREEDOM NOTE LIQUIDATION,
HARRY RANDOLPH (RANDY) CROW, INDIVIDUALLY AMERICAN FINANCIAL MORTGAGE, INC.
Order to Cease & Desist based on allegations of possible violations oft he Arkansas Fair Mortgage Lending Act, Ark. Code Ann. § 23-39-501.
06-80006291-OR002
GARY F. LILES
Order providing a transactional exemption from registration and permission to pay commission pursuant to Ark. Code Ann. § 23-42-504(a)(12).
C-06-017-06-OR01
CARL GUSTAVUS MATTHEWS, AN EMPLOYEE OF NATIONAL LENDING CORPORATION
Order denyhing application of a felony conviction for a crime involving fraud under the Fair Mortgage Lending Act.
C-06-018-06-CD01
TBS INVESTMENTS, INC., D/B/A AMERICAN RESIDENTIAL MORTGAGE
Order suspending license based on allegations that the respondent has failed to comply with the surety bonding requirements of the Fair Mortgage Lending Act.
C-06-019-06-CD01
LIMINE MORTGAGE, L.L.C.
Order suspending license base don allegations that that respondent failed to comply with the surety bond requirements of the Fair Mortgage Lending Act.
C-06-020-06-CD01
NUSTAR MORTGAGE RESOURCES, LLC
C-06-013-06-CD01
LIBERTY MORTGAGE, INC.;
Cease & Desist Order stemming from information and documentation indicating that the respondent has engaged in certain mortgage loan brokering activities in Arkansas without a license to engage in such activities which is in violation of the Arkansas Fair Mortgage Lending Act, Ark. Code Ann. § 23-39-501.
06-90000345-NA003
06-80006065-OR001
OUACHITA REGIONAL DIAGNOSTIC & SURGERY CENTER, INC. D/B/A HEALTHPARK HOSPITAL
Securities Order providing a waiver of certain provisions of the exemption pursuant to Ark. Code Ann. § 23-42-503(A)(9) regarding the proposed slae of shares in Ouachita Regional Diagnostic & Surgery Center, inc. to certain qualified investors.