A request for a cease and desist order directing the respondents to cease and desist all investor advisory activity in the state of Arkansas until such time that they are properly registered under the Arkansas Securities Act.
JOE DON TREECE
12/16/2016
A request for an order to revoke the registration and imposition of fines against Joe Don Treece for alleged violations of the Arkansas Securities Act.
TALON CAPITAL, LLC., TALON CAPITAL, LP, and CHARLES BAILEY FERRILL, JR.
09/12/2016
A request for a cease and desist order against Talon Capital, LLC, Talon Capital, LP, and Charles Bailey Ferrill, Jr. in connection with alleged violations of the Arkansas Securities Act.
JEFFERY SMITH and FOUR CORNERS MANAGEMENT, LLC
08/15/2016
A request for a cease and desist order against Jeffrey Smith and Four Corners Management, LLC in connection with alleged violations of the Arkansas Securities Act.
DRAGONFLY INDUSTRIES INTERNATIONAL, LLC and JODY DOUGLAS DAVIS
08/11/2016
A request for a cease and desist order against Dragonfly Industries International, LLC and its chief executive officer, Jody Douglas Davis, finding the sale of unregistered securities, the employment of an unregistered agent of the issuer and securities fraud.
CHASTAIN FINANCIAL, LLC and CARLA L. CHASTAIN
03/16/2016
A request for a cease and desist order against Carla L. Chastain and Chastain Financial, LLC filed in connection with alleged violations of the Arkansas Securities Act.
BILLY WAYNE ALLEN
10/07/2015
A request for revocation of registrations and imposition of fines.
THE BUDDY COMPANIES, LLC; and SIMONE SIMON
08/28/2015
A request for cease and desist order filed in connection with alleged unregistered activity committed in violation of the Arkansas Securities Act.
THE BULLION GROUP, INC.; and LUIS MANUEL PINEDA
08/28/2015
A request for cease and desist order filed in connection with alleged violations of the Arkansas Securities Act.