Administrative Pleadings

Year 2020


S-20-0047
10/21/2020

LEGALBITCOINMINING.COM

A request for a cease and desist order concerning the fraudulent and unregistered broker-dealer and investment adviser activity in the offer and sale of unregistered securities in Arkansas. 

S-20-0007
7/8/2020

VEKX Global, LLC

A request for cease and desist order concerning the fraudulent and unregistered investment adviser activity and fraud in the offer or sale of securities in Arkansas. 

S-20-0034
6/23/2020

Kuettel Capital, LLC

Request for an order summarily and immediately suspending the registration of Kuettel Capital, LLC as an investment adviser and the registration of Adam J. Kuettel as an investment adviser representative of Kuettel Capital, LLC. 

S-20-0033
6/17/2020

Mark Baxter a/k/a Mark Morrow

A request for cease and desist order concerning fraudulent and unregistered investment adviser activity and fraud in the offer or sale of securities in Arkansas.

S-18-0085
6/4/2020

Andrew S. Lee

Request for cease and desist order concerning acting as an unregistered investment adviser and securities fraud.

S-18-0085
5/29/2020

John C. Hamilton

A complaint filed by the Staff of the Arkansas Securities Department against John C. Hamilton for violations of the Arkansas Securities Act and the Rules of the Arkansas Securities Commissioner.

S-19-0069
4/10/2020

McGehee Capital Management, Inc.

and Stewart Bruce McGehee

A complaint filed by the Staff against Stewart McGehee and McGehee Capital Management, Inc. concerning violations of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner. 

S-18-0008
4/9/2020

Pro Options Elite

and Charles Louis Bittman

Request for cease and desist order concerning fraudulent and unregistered investment adviser activity and fraud in the offer or sale of securities by one unregistered to offer or sell securities. 

S-18-0099
3/9/2020

Fayne Trucking, LLC and Maurice Fayne

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

S-19-0046
3/9/2020

Metals.com A/K/A TMTE Inc. A/K/A Chase Metals, Inc. A/K/A Chase Metals, LLC

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

S-20-0001
1/9/2020

Henry Cooper and

Network Trade, LLC

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


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