Administrative Pleadings

Year 2016


S-16-0097
12/16/2016

JOE DON TREECE

A request for an order to revoke the registration and imposition of fines against Joe Don Treece for alleged violations of the Arkansas Securities Act.

S-14-0008
9/12/2016

TALON CAPITAL, LLC., TALON CAPITAL, LP, and CHARLES BAILEY FERRILL, JR.

A request for a cease and desist order against Talon Capital, LLC, Talon Capital, LP, and Charles Bailey Ferrill, Jr. in connection with alleged violations of the Arkansas Securities Act.

S-16-0068
8/15/2016

JEFFERY SMITH and

FOUR CORNERS MANAGEMENT, LLC

A request for a cease and desist order against Jeffrey Smith and Four Corners Management, LLC in connection with alleged violations of the Arkansas Securities Act.

S-15-0047
8/11/2016

DRAGONFLY INDUSTRIES INTERNATIONAL, LLC and

JODY DOUGLAS DAVIS

A request for a cease and desist order against Dragonfly Industries International, LLC and its chief executive officer, Jody Douglas Davis, finding the sale of unregistered securities, the employment of an unregistered agent of the issuer and securities fraud.

S-16-0022
7/1/2016

MARIAN BARTOSIEWICZ, and

PANOPTIC TARGETED SCIENCE, LLC

A request for a cease and desist order against Marion Bartosiewicz and Panoptic Targeted Sciences, LLC in connection with alleged violations of the Arkansas Securities Act.

S-16-0018
3/16/2016

CHASTAIN FINANCIAL, LLC and

CARLA L. CHASTAIN

A request for a cease and desist order against Carla L. Chastain and Chastain Financial, LLC filed in connection with alleged violations of the Arkansas Securities Act.


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