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
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.
MICHAEL HAZEN MARTIN
03/20/2014
A complaint filed by the staff against Michael Hazen Martin in connection with alleged violations of the Arkansas Securities Act.
VFG, LLC, f/k/a VOYAGER FINANCIAL GROUP, LLC, and RICHARD YOUNKMAN
03/14/2014
Second request for cease and desist order for violations of the Arkansas Securities Act.
SALVATORE GIOE
03/12/2014
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.