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S-20620A-08-0472

James Jonathon Fraser Buchanan, CRD#2452897 and Lori A. Buch


Securities

Securities - General

Closed

9/11/2008

Notice of Opportunity for Hearing regarding Proposed Order to Cease and Desist, Order for Restitution, for Administrative Penalties, of Revocation and for Other Affirmative Action

08-0472

 
Filing Date
Description Filed By Filed For Document Details PDF
3/13/2009 Return Receipt/Green Card Lori A. Buchanan - Respondent
3/13/2009 Return Receipt/Green Card James Jonathon Fraser Buchanan - Respondent
2/24/2009 Decision A.C.C. (70751)
2/2/2009 Proposed Consent Order from the Securities Division Matthew Neubert, Director of Securities
1/13/2009 Securities Division - Notice of Opportunity Matthew Neubert, Director of Securities
1/13/2009 Miscellaneous - Notice of Errata Pamela T. Johnson
1/13/2009 Affidavit/Certification - Service Micharl J. Rice
12/11/2008 Procedural Order - Grants a Miscellaneous Motion/Request Marc E. Stern, Administrative Law Judge - A.C.C.
12/5/2008 Staff's Motions/Requests Pamela T. Johnson
9/30/2008 Affidavit/Certification - Service Guy Phillips
9/11/2008 Application - Securities Matthew Neubert, Director of Securities
Decision # Decision Date Description PDF
70751 2/24/2009 Decision
 
Location Type Date Time Completed Details Download Outlook Calendar
H.R. #1 Contingent Open Meeting (If Needed) 2/19/2009 10:00 AM 2/20/2009
N/A Due - Rehearing Application 3/16/2009 8:00 AM 3/16/2009
Case Staff
Name Area Assigned
P. Johnson Securities 10/24/2008
Marc Stern Hearing 9/16/2008
Guy Phillips Securities 10/24/2008
Marc Stern Hearing 9/16/2008
 
Company Contact Address Date Added Email Email Opt-in
James Jonathon Fraser & Lori A. Buchanan 12754 East Garcia Street
Dewey, AZ 86327-7275
12/12/2008
Matthew Neubert 1200 W. Washington
Phoenix, AZ 85007-0000
9/12/2008

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