A complaint filed by the staff against Salvatore Gioe in connection with alleged violations of the Arkansas Securities Act.
SKB PARTNERS, LLC; MAVERICK INVESTMENTS, LLC; and SCOTT A. SMITH
03/10/2014
A. Heath Abshure, Arkansas Securities Commissioner, filed a complaint against SKB Partners, LLC; Maverick Investments, LLC; and Scott A. Smith in the Circuit Court of Pulaski County, Arkansas.
WILLIAM DAVID CRAIN
02/27/2014
A complaint filed for suspension or revocation of registrations for failure and refusal to cooperate during an onsite examination.
NIAZ ELMAZI
02/25/2014
A complaint filed by the staff against Niaz Elmazi in connection with alleged violations of the Arkansas Securities Act.
ROBERT JOSEPH RUPPERT
01/16/2014
A request for a cease and desist order filed in connection with alleged unregistered broker-dealer activity and securities fraud committed in violation of the Arkansas Securities Act.
EL HADJI SAM GUEYE
01/16/2014
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.