An administrative complaint filed by the Staff seeking revocation of prior registration and fines for allegations regarding unauthorized practice as an investment adviser representative, sale of unregistered securities, securities fraud in the offer and sale of securities, and misuse of customer funds.
LARRY P. STIDMAN
05/17/2012
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.
CAMBRIDGE LEGACY SECURITIES, L.L.C.. CAMBRIDGE LEGACY ADVISORS, INC., HENRY HORACE”BUSTER” GODBEE, III, and ALEX LANCE WITTENBURG
02/28/2012
A complaint filed to suspend or revoke registrations and impose fines or entry of a cease and desist order against the respondents.
IVOL R. GREEN and ENTERPRISE WORLD TRUST, LLC
02/17/2012
Amended request for a cease and desist order regarding violations of the Arkansas Securities Act.
CHRISTOPHER COLLIER
12/29/2011
A complaint filed to take action regarding the registrations of Christopher Jerome Collier.
HERITAGE PACIFIC FINANCIAL, LLC
12/06/2011
Request for cease and desist order concerning violations of the Arkansas Securities Act for the sale of unregistered securities.
RINDA L. UNDERWOOD, BUDGET REPAIRED, INC. d/b/a I’M NOT LEAVING and DAVID GEORGE
08/23/2011
Request for a cease and desist order concerning unlicensed mortgage loan activity.
ATTORNEYS LAW GROUP, BETTER HOME RELIEF, AND SCOTT B. HAYWARD
08/08/2011
Request for a cease and desist order concerning unlicensed mortgage loan activity.
US DOC PREP, LLC
05/13/2011
Request for cease and desist order concerning violations of the Arkansas Fair Mortgage Lending Act.