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.
RIVERSIDE LEASE,LLC, SCHAFER FINANCIAL SERVICES, SCHAFER FINANCIAL AND TERINA CARNEY aka TERINA HUMPHERY aka TERINA SCHAFER
10/06/2014
RANDALL R. LYLE; NORTHERSTERN VENTURES, LLP, AND SOUTH PLATTE ENERGY, LLC
09/04/2014
Request for cease and desist order concerning the sale of unregistered securities and securities fraud.
EVERTON ALEXANDER MURDOCK
07/07/2014
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.
CHRISTOPHER NEUDECKER
05/07/2014
A complaint filed to deny an application for registration as an investment adviser representative.
NATHALO IAN MENENDEZ
04/30/2014
A complaint filed by the staff against Nathalo Menendez in connection with alleged violations of the Arkansas Securities Act.
CURA CONSULT & ASSOCIATED COMPANIES AND MICHAEL G. SHOOK
04/11/2014
Amended request for cease and desist order filed in connection with violations of the Arkansas Securities Act.
CURA CONSULT & ASSOCIATED COMPANIES AND MICHAEL G. SHOOK
04/08/2014
Request for cease and desist order filed in connection with violations of the Arkansas Securities Act.
JEREMIAH CUMMINGS, FOR HIS GLORY INTERNATIONAL RECORDS and DePHIL INTERNATIONAL RECORDS
03/27/2014
Request for cease and desist order filed in connection with violations of the Arkansas Securities Act.
A.J.S., LLC and JOHN SCOTT VISE
03/24/2014
Request for cease and desist order in connection with violations of the Arkansas Securities Act.