Request for an order summarily and immediately suspending the registration of Kuettel Capital, LLC as an investment adviser and the registration of Adam J. Kuettel as an investment adviser representative of Kuettel Capital, LLC.
Mark Baxter a/k/a Mark Morrow
06/17/2020
A request for cease and desist order concerning fraudulent and unregistered investment adviser activity and fraud in the offer or sale of securities in Arkansas.
Andrew S. Lee
06/04/2020
Request for cease and desist order concerning acting as an unregistered investment adviser and securities fraud.
John C. Hamilton
05/29/2020
A complaint filed by the Staff of the Arkansas Securities Department against John C. Hamilton for violations of the Arkansas Securities Act and the Rules of the Arkansas Securities Commissioner.
McGehee Capital Management, Inc. and Stewart Bruce McGehee
04/10/2020
A complaint filed by the Staff against Stewart McGehee and McGehee Capital Management, Inc. concerning violations of the Arkansas Securities Act and Rules of the Arkansas Securities Commissioner.
Pro Options Elite and Charles Louis Bittman
04/09/2020
Request for cease and desist order concerning fraudulent and unregistered investment adviser activity and fraud in the offer or sale of securities by one unregistered to offer or sell securities.
Metals.com A/K/A TMTE Inc. A/K/A Chase Metals, Inc. A/K/A Chase Metals, LLC
03/09/2020
Request for cease and desist order concerning the sale of fraudulent, unregistered securities.
Fayne Trucking, LLC and Maurice Fayne
03/09/2020
Request for cease and desist order concerning the sale of fraudulent, unregistered securities.
Henry Cooper and Network Trade, LLC
01/09/2020
Request for cease and desist order concerning the sale of fraudulent, unregistered securities.