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.
CAMBRIDGE LEGACY SECURITIES, L.L.C.. CAMBRIDGE LEGACY ADVISORS, INC., HENRY HORACE”BUSTER” GODBEE, III, and ALEX LANCE WITTENBURG
02/28/2012
A complaint filed to suspend or revoke registrations and impose fines or entry of a cease and desist order against the respondents.
IVOL R. GREEN and ENTERPRISE WORLD TRUST, LLC
02/17/2012
Amended request for a cease and desist order regarding violations of the Arkansas Securities Act.
CHRISTOPHER COLLIER
12/29/2011
A complaint filed to take action regarding the registrations of Christopher Jerome Collier.
HERITAGE PACIFIC FINANCIAL, LLC
12/06/2011
Request for cease and desist order concerning violations of the Arkansas Securities Act for the sale of unregistered securities.
RINDA L. UNDERWOOD, BUDGET REPAIRED, INC. d/b/a I’M NOT LEAVING and DAVID GEORGE
08/23/2011
Request for a cease and desist order concerning unlicensed mortgage loan activity.