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.
Hannover House, Inc.; D. Frederick Shefte; and Eric F. Parkinson
10/08/2019
A request for cease and desist order filed against the Respondents in connection with alleged unregistered securities activity and securities fraud committed in violation of the Arkansas Securities Act.
Social Automotive Management Services, LLC Social, Inc.; and Adam B. Sharp
08/29/2019
A request for cease and desist order filed against the Respondents in connection with alleged unregistered securities activity and securities fraud committed in violation fo the Arkansas Securities Act.
Chastain Financial, LLC, Carla Chastain and Stephen B. Chastain
08/02/2019
A request for a cease and desist order ordering Chastain Financial, LLC, Carla Chastain and Stephen B. Chastain to cease and desist all activities constituting acting as an unregistered investment adviser, acting as an unregistered investment adviser representative and committing securities fraud.
Hot Coe Coe a/k/a Diclops.com
03/26/2019
Request for a cease and desist order concerning the offer for sale of unregistered, non-exempt securities through the use of omissions and misstatements of material facts.
Mackrow Asset Management Group and John N. Cucinella
08/16/2018
Request for cease and desist order concerning unregistered broker-dealer and agent activity, as well as the sale of unregistered securities.
AFR Brokerage LLC and Antron F. Ramey
03/28/2018
A request for cease and desist order filed against AFR Brokerage LLC and Antron F. Ramey in connection with alleged unregistered broker-dealer and agent activity, as well as securities fraud.