A complaint filed to deny an application for registration as an investment adviser representative.
NATHALO IAN MENENDEZ
04/30/2014
A complaint filed by the staff against Nathalo Menendez in connection with alleged violations of the Arkansas Securities Act.
CURA CONSULT & ASSOCIATED COMPANIES AND MICHAEL G. SHOOK
04/11/2014
Amended request for cease and desist order filed in connection with violations of the Arkansas Securities Act.
WILLIAM DAVID CRAIN
04/10/2014
A. Heath Abshure, Arkansas Securities Commissioner, filed a complaint in Circuit Court of Pulaski County, Arkansas against William David Crain requesting the Court to enforce an administrative subpoena.
CURA CONSULT & ASSOCIATED COMPANIES AND MICHAEL G. SHOOK
04/08/2014
Request for cease and desist order filed in connection with violations of the Arkansas Securities Act.
JEREMIAH CUMMINGS, FOR HIS GLORY INTERNATIONAL RECORDS and DePHIL INTERNATIONAL RECORDS
03/27/2014
Request for cease and desist order filed in connection with violations of the Arkansas Securities Act.
A.J.S., LLC and JOHN SCOTT VISE
03/24/2014
Request for cease and desist order in connection with violations of the Arkansas Securities Act.
MICHAEL HAZEN MARTIN
03/20/2014
A complaint filed by the staff against Michael Hazen Martin in connection with alleged violations of the Arkansas Securities Act.
VFG, LLC, f/k/a VOYAGER FINANCIAL GROUP, LLC, and RICHARD YOUNKMAN
03/14/2014
Second request for cease and desist order for violations of the Arkansas Securities Act.