A request for a cease and desist order finding that the respondents have acted as unregistered investment advisers and ordering them to cease and desist from such activities.
JOHN W. RUSTIN, JR.
06/04/2009
An amended request for a cease and desist order finding that John W. Rustin, Jr. had sold unregistered securities by means of securities fraud and ordering that Rustin cease and desist from such activities.
JOHN W. RUSTIN, JR.
06/01/2009
A request for a cease and desist order finding that John W. Rustin, Jr. had sold unregistered securities by means of securities fraud and ordering that Rustin cease and desist from such activities.
GREENLEAF COMPANIES, LLC, ERIC C. GAGNEPAIN AND MISTY PERKINS
05/13/2009
An amended request for a cease and desist order concerning the sale of unregistered securities by Greenleaf, Gagnepain and Perkins through the use of fraud.
TERRY MITCHELL, d/b/a ADVANTAGE FINANCIAL SERVICES
04/10/2009
A. Heath Abshure, Arkansas Securities Commissioner, filed a second amended complaint in the Circuit Court of Pulaski County, Arkansas against Terry Mitchell, d/b/a Advantage Financial Services.
WILLIAM O. HALL
03/26/2009
A request for an order against William O. Hall to cease and desist from all mortgage loan brokering activities in Arkansas until properly licensed.
GREENLEAF COMPANIES, LLC, ERIC C. GAGNEPAIN AND MISTY PERKINS
03/23/2009
A request for a cease and desist order concerning the sale of unregistered securities by Greenleaf, Gagnepain and Perkins through the use of fraud.
DIVERSIFIED LENDING GROUP, LLC
03/16/2009
An amended request for a cease and desist order 1) finding that all respondents had sold unregistered securities by means of securities fraud and that respondent Gardner had also acted as an unregistered broker-dealer and 2) ordering the respondents to immediately cease and desist from such activities.
JAMES ROBERT CRAWFORD D/B/A SAFETY OF SENIORS, INC.
03/12/2009
A request for a cease and desist order concerning unregistered investment advisory activities of James Robert Crawford d/b/a Safety of Seniors, Inc.