Complaint filed for revocation of registration and fine concerning multiple violations of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner.
RIVERSIDE LEASE,LLC, SCHAFER FINANCIAL SERVICES, SCHAFER FINANCIAL AND TERINA CARNEY aka TERINA HUMPHERY aka TERINA SCHAFER
10/06/2014
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.
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.
WILLIAM DAVID CRAIN
04/10/2014
A. Heath Abshure, Arkansas Securities Commissioner, filed a complaint in Circuit Court of Pulaski County, Arkansas against William David Crain requesting the Court to enforce an administrative subpoena.
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.