Request for a cease and desist order in connection with violations Arkansas Securities Act.
BROWN DOG FINANCIAL, LLC
11/08/2012
Request for a cease and desist order in connection with violations of the Arkansas Securities Act.
JOHN THOMAS FINANCIAL, INC.
09/19/2012
Complaint filed in connection with violations of the Arkansas Securities Act.
FIRST SECURITY BANK, TRUSTEE V. BAMCO GAS, LLC
08/29/2012
A. Heath Abshure, Arkansas Securities Commissioner, filed a motion in the Circuit Court of Pulaski County, Arkansas, in the case of First Security Bank, Trustee v. Bamco Gas, LLC, Case No. CV-09-3281, to withdraw his Motion to Allow Limited Intervention filed on July 3, 2012, in the ongoing matter.
WALLACE J. LETTRELL, JR., TO LOVE GOD, LLC, d/b/a POP-N-SHOTS, and THE LITTRELL GROUP
08/03/2012
Request for cease and desist order in connection with violations of the Arkansas Securities Act.
AMERICAHOMEKEY, INC,
07/24/2012
A request for Summary Suspension of License, Revocation of License, and Hearing.
MICHEAL D. MUNSON
07/16/2012
An administrative complaint filed by the Staff seeking revocation of prior registration and fines for allegations regarding unauthorized practice as an investment adviser representative, sale of unregistered securities, securities fraud in the offer and sale of securities, and misuse of customer funds.
FIRST SECURITY BANK, TRUSTEE V. BAMCO GAS, LLC
07/03/2012
A. Heath Abshure, Arkansas Securities Commissioner, filed a motion in the Circuit Court of Pulaski County, Arkansas, in the case of First Security Bank, Trustee v. Bamco Gas, LLC, Case No. CV-09-3281, to allow limited intervention in the ongoing matter.
LARRY P. STIDMAN
05/17/2012
An administrative complaint filed by the Staff alleging sale of unregistered securities, securities fraud in the offer and sale of securities and investment adviser fraud and seeking revocation of prior registration, denial of pending registration and fines.