Administrative Pleadings

Year 2014


S-12-0010
11/13/2014

IVOL R. GREEN, ENTERPRISE WORLD TRUST, LLC, GATEKEEPER INVESTMENT GROUP, LLC, JAMES W. STRICKHAUSEN, DAVID E. EVANS and LAMECH KAMUZA

An amended request filed by the staff of the Arkansas Securities Department (Staff) for a cease and desist order finding violations of the Arkansas Securities Act (Act) and ordering that the respondents cease and desist from activity constituting violations of the Act. The request asks that all the respondents be found to have offered or sold unregistered securities issued by Enterprise World Trust, LLC (EWT), that Gatekeeper Investment Group, LLC (Gatekeeper) be found to have acted as an unregistered broker-dealer, that James W. Strickhausen and David E. Evans be found to have acted as unregistered agents of Gatekeeper, that Lamech Kamuza be found to have acted as an unregistered agent of the issuer, EWT, and that Green and EWT be found to have committed securities fraud. The request also contains the  Staff’s request to assess fines against Green totaling $100,000.

S-14-0095
11/6/2014

RIVERSIDE LEASE,LLCSCHAFER FINANCIAL SERVICES, SCHAFER FINANCIAL AND TERINA CARNEY aka TERINA HUMPHERY

aka TERINA SCHAFER

Request for a cease and desist order ordering Riverside Lease, LLC, Schafer Financial Services, Schafer Financial and Terina Carney aka Terina Humphrey aka Terina Schafer ("Carney") to cease all activities in connection with the offer and sale of unregistered securities and for Carney to cease all fraudulent acts.

S-14-0084
11/5/2014

STEELE V. STEPHENS

Complaint filed for revocation of registration and fine concerning multiple violations of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner.

S-11-0301
9/4/2014

RANDALL R. LYLE; NORTHERSTERN VENTURES, LLP,

AND SOUTH PLATTE ENERGY, LLC

Request for cease and desist order concerning the sale of unregistered securities and securities fraud.

S-13-0095
7/7/2014

EVERTON ALEXANDER MURDOCK

A request for cease and desist order filed in connection with alleged unregistered broker-dealer agent activity committed in violation of the Arkansas Securities Act.

S-14-0026
5/7/2014

CHRISTOPHER NEUDECKER

A complaint filed to deny an application for registration as an investment adviser representative.

S-13-0153
4/30/2014

NATHALO IAN MENENDEZ

A complaint filed by the staff against Nathalo Menendez in connection with alleged violations of the Arkansas Securities Act.

S-13-0092
4/11/2014

CURA CONSULT & ASSOCIATED COMPANIES

AND MICHAEL G. SHOOK

Amended request for cease and desist order filed in connection with violations of the Arkansas Securities Act.

S-13-0092
4/8/2014

CURA CONSULT & ASSOCIATED COMPANIES

AND MICHAEL G. SHOOK

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

S-14-0011
3/27/2014

JEREMIAH CUMMINGS,

FOR HIS GLORY INTERNATIONAL RECORDS and

DePHIL INTERNATIONAL RECORDS

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

S-13-0041
3/24/2014

A.J.S., LLC and

JOHN SCOTT VISE

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

S-11-0244
3/20/2014

MICHAEL HAZEN MARTIN

A complaint filed by the staff against Michael Hazen Martin in connection with alleged violations of the Arkansas Securities Act.

S-12-0015
3/14/2014

VFG, LLC, f/k/a

VOYAGER FINANCIAL GROUP, LLC, and

RICHARD YOUNKMAN

Second request for cease and desist order for violations of the Arkansas Securities Act.

S-13-0112
3/12/2014

SALVATORE GIOE

A complaint filed by the staff against Salvatore Gioe in connection with alleged violations of the Arkansas Securities Act.

S-14-0019
2/27/2014

WILLIAM DAVID CRAIN

A complaint filed for suspension or revocation of registrations for failure and refusal to cooperate during an onsite examination.

S-12-0102
2/25/2014

 NIAZ ELMAZI

A complaint filed by the staff against Niaz Elmazi in connection with alleged violations of the Arkansas Securities Act.

S-13-0142
1/16/2014

EL HADJI SAM GUEYE

A request for cease and desist order filed in connection with alleged unregistered broker-dealer activity and securities fraud committed in violation of the Arkansas Securities Act.

S-13-0138
1/16/2014

ROBERT JOSEPH RUPPERT

A request for a cease and desist order filed in connection with alleged unregistered broker-dealer activity and securities fraud committed in violation of the Arkansas Securities Act.


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