A request for cease and desist order filed in connection with alleged unregistered broker-dealer activity and securities fraud committed in violation of the Arkansas Securities Act.
JUDY J. HOOVER-DUGGAN
11/18/2013
Request for cease and desist order in connection with unlicensed loan officer activity in violation of the Arkansas Fair Mortgage Lending Act.
NAVEEN K. BHAGWANI
10/24/2013
Request for cease and desist order in connection with activity as an unregistered broker-dealer agent in the state of Arkansas, in violation of the Arkansas Securities Act.
JUNMO HONG
07/22/2013
A complaint filed by the staff in connection with alleged violations of the Arkansas Securities Act.
BAMCO GAS, LLC; ERNEST ANCIN BARTLETT, III; and HOWARD MILLER APPEL
07/08/2013
Request for cease and desist order in connection with violations of the Arkansas Securities Act.
INTERACTIVE DIGITAL SYSTEMS, LLC; RMI GROUP, LLC; DENNIS F. ROBINSON; and JAN RICHEY ROBINSON
04/25/2013
A. Heath Abshure, Arkansas Securities Commissioner, filed a Complaint against Interactive Digital Systems, LLC; RMI Group, LLC; Dennis F. Robinson; and Jan Richey Robinson in the Circuit Court of Pulaski County, Arkansas.
VFG, LLC f/k/a VOYAGER FINANCIAL GROUP, LLC, ANDREW GAMBER, KEVIN MCNAY, ROBERT HENRY, and JONATHAN SHEETS
04/22/2013
Request for cease and desist order in connection with violations of the Arkansas Securities Act.
THOMAS E. JAMES; TJAMES INVESTMENT SERVICES
04/18/2013
A. Heath Abshure, Arkansas Securities Commissioner, filed a Complaint for Ex Parte Temporary Restraining Order and Other Relief against Thomas E. James and TJames Investment Services in the Circuit Court of Pulaski County, Arkansas.
R.D. MYERS DEVELOPMENT, INC. and RODNEY MYERS
02/21/2013
Request for cease and desist order in connection with violations of the Arkansas Securities Act.