Administrative Pleadings

Year 2012


S-12-0104
12/13/2012

DUNWELL CORPORATION, and

PRESTON ENERGY, INC.

Request for cease and desist order in connection with violations of the Arkansas Securities Act with 4 exhibits attached.

S-11-0310
12/4/2012

UNITED STATES OIL&GAS CORP;

OMAR PLUMMER; ALEX TAWSE

Request for cease and desist order in connection with violations of the Arkansas Securities Act.

S-12-0102
11/30/2012

BRETT IAN FRIEDBERG

A complaint file by the Staff in connection with alleged violations of the Arkansas Securities Act.

S-12-0233
11/29/2012

JADE ASSET ADVISORS

Request for a cease and desist order in connection with violations Arkansas Securities Act. 

S-12-0221
11/8/2012

BROWN DOG FINANCIAL, LLC

Request for a cease and desist order in connection with violations of the Arkansas Securities Act.

S-11-0348
9/19/2012

JOHN THOMAS FINANCIAL, INC.

Complaint filed in connection with violations of the Arkansas Securities Act.

S-12-0137
8/3/2012

WALLACE J. LETTRELL, JR., TO LOVE GOD, LLC,  d/b/a POP-N-SHOTS, and THE LITTRELL GROUP

Request for cease and desist order in connection with violations of the Arkansas Securities Act.

C-12-0106
7/24/2012

AMERICAHOMEKEY, INC,

A request for Summary Suspension of License, Revocation of License, and Hearing.

S-11-0299
7/16/2012

MICHEAL D. MUNSON

An administrative complaint filed by the Staff seeking revocation of prior registration and fines for allegations regarding unauthorized practice as an investemnt adviser representative, sale of unregistered securities, securities fraud in the offer and sale of securities, and misuse of customer funds.

S-12-0013
5/17/2012

LARRY P. STIDMAN

An administrative complaint filed by the Staff alleging sale of unregistered securities, securities fraud in the offer and sale of securities and investment adviser fraud and seeking revocation of prior registration, denial of pending registration and fines.

S-11-0219
2/28/2012

CAMBRIDGE LEGACY SECURITIES, L.L.C.. CAMBRIDGE LEGACY ADVISORS, INC., HENRY HORACE"BUSTER" GODBEE, III, and ALEX LANCE WITTENBURG

A complaint filed to suspend or revoke registrations and impose fines or entery of a cease and desist order against the respondents.

S-12-0010
2/17/2012

IVOL R. GREEN and

ENTERPRISE WORLD TRUST, LLC

Amended request for a cease and desist order regarding violations of the Arkansas Securities Act.


< back to year select
 

contact us

Telephone: (501) 324-9260
Facsimile: (501) 324-9268
Hotline: (800) 981-4429
info@securities.arkansas.gov
Browse the ASD Contact Directory
search license database