Administrative Pleadings
Year 2020
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S-20-0047 10/21/2020 |
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. |
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S-20-0007 7/8/2020 |
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. |
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S-20-0034 6/23/2020 |
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. |
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S-20-0033 6/17/2020 |
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. |
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S-18-0085 6/4/2020 |
Request for cease and desist order concerning acting as an unregistered investment adviser and securities fraud. |
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S-18-0085 5/29/2020 |
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. |
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S-19-0069 4/10/2020 |
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. |
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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. |
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S-18-0099 3/9/2020 |
Request for cease and desist order concerning the sale of fraudulent, unregistered securities. |
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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. |
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S-20-0001 1/9/2020 |
Request for cease and desist order concerning the sale of fraudulent, unregistered securities. |
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