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S-20656A-09-0074

David W. Cole and Siiri, husband and wife


Securities

Securities - General

Closed

2/19/2009

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

09-0074

 
Filing Date
Description Filed By Filed For Document Details PDF
2/24/2010 Return Receipt/Green Card Dan Semon Arizona Reporting Service, Inc.
2/23/2010 Decision A.C.C. (#71493)
2/19/2010 Procedural Order - Vacates a Hearing Marc E. Stern, Administrative Law Judge - A.C.C.
2/18/2010 Motion/Request - Miscellaneous Aikaterine Vervilos, Atty. - Securities Division, A.C.C.
2/4/2010 Proposed Consent Order from the Securities Division Matthew Neubert, Director of Securities
12/8/2009 Procedural Order - Sets a Hearing Marc E. Stern, Administrative Law Judge - A.C.C.
12/8/2009 Decision A.C.C. (#71427)
12/7/2009 Motion/Request - Miscellaneous Aikaterine Vervilos, Atty. - Securities Division, A.C.C.
12/1/2009 Return Receipt/Green Card Randy Ward - Respondent
11/24/2009 Return Receipt/Green Card Randy Ward - Respondent
11/19/2009 Return Receipt/Green Card Marta Hetzer Arizona Reporting Service, Inc.
11/19/2009 Proposed Consent Order from the Securities Division Matthew Neubert, Director of Securities
11/12/2009 Procedural Order - Vacates a Hearing Marc E. Stern, Administrative Law Judge - A.C.C.
11/10/2009 Motion/Request to Continue a Hearing Aikaterine Vervilos, Atty. - Securities Division, A.C.C.
10/15/2009 Notice of Filing - Miscellaneous Aikaterine Vervilos, Atty. - Securities Division, A.C.C.
10/15/2009 Response Randy Ward - Respondent
5/21/2009 Transcript Arizona Reporting Service, Inc. - Court Reporters
5/19/2009 Return Receipt/Green Card Randy Ward
5/18/2009 Return Receipt/Green Card Heather Stanton Arizona Reporting Service, Inc.
5/11/2009 Procedural Order - Sets a Hearing Marc E. Stern, Administrative Law Judge - A.C.C.
4/24/2009 Return Receipt/Green Card Alan Baskin, Atty. David Cole and Siiri Cole
4/21/2009 Decision A.C.C. (#70967)
4/16/2009 Transcript Arizona Reporting Service, Inc. - Court Reporters
4/14/2009 Return Receipt/Green Card Alan Baskin, Atty. David Cole and Siiri Cole
4/3/2009 Procedural Order - Miscellaneous Marc E. Stern, Administrative Law Judge - A.C.C.
3/31/2009 Procedural Order - Grants a Miscellaneous Motion/Request Marc E. Stern, Administrative Law Judge - A.C.C.
3/30/2009 Proposed Consent Order from the Securities Division Matthew Neubert, Director of Securities
3/27/2009 Motion/Request - Miscellaneous Aikaterine Vervilos, Atty. - Securities Division, A.C.C.
3/26/2009 Response Scot Oglesby Respondent
3/18/2009 Affidavit/Certification - Service Peggy Scozzari - Securities Division, A.C.C.
3/12/2009 Procedural Order - Sets a Pre-Hearing Marc E. Stern, Administrative Law Judge - A.C.C.
3/9/2009 Procedural Order - Sets a Pre-Hearing Marc E. Stern, Administrative Law Judge - A.C.C.
3/9/2009 Request for a Hearing Alan S. Baskin, Atty. David Cole and Siiri Cole
3/2/2009 Request for a Hearing Scot Oglesby - Respondent
3/2/2009 Request for a Hearing Randy Ward - Respondent
2/25/2009 Affidavit/Certification - Service Peggy Scozzari - Securities Division, A.C.C.
2/25/2009 Affidavit/Certification - Service Peggy Scozzari - Securities Division, A.C.C.
2/24/2009 Affidavit/Certification - Service Peggy Scozzari - Securities Division, A.C.C.
2/19/2009 Application - Securities Mark Dinell, Atty. - Securities Division A.C.C.
Decision # Decision Date Description PDF
70967 4/21/2009 Decision
71427 12/8/2009 Decision
71493 2/23/2010 Decision
 
Location Type Date Time Completed Details Download Outlook Calendar
H.R. #1 Contingent Open Meeting (If Needed) 4/14/2009 10:00 AM 4/15/2009
H.R. #1 Contingent Open Meeting (If Needed) 11/30/2009 10:00 AM 11/30/2009
2nd Floor Conf Rm Securities Prehearing Conference 4/2/2009 11:30 AM 4/2/2009
H.R. #1 Contingent Open Meeting (If Needed) 2/18/2010 10:00 AM 2/18/2010
H.R. #2 Status Conference 5/7/2009 11:30 AM 5/7/2009
N/A Due - Rehearing Application 5/11/2009 8:00 AM 5/11/2009
N/A Due - Witness List 10/14/2009 4:00 PM
N/A Due - Rehearing Application 12/28/2009 8:00 AM 12/28/2009
N/A Due - Rehearing Application 3/15/2010 8:00 AM 3/15/2010
Case Staff
Name Area Assigned
Marc Stern Hearing 2/25/2009
Aikaterine Vervilos Securities 2/24/2009
Peggy Scozzari Securities 2/24/2009
Aikaterine Vervilos Securities 2/24/2009
Marc Stern Hearing 2/25/2009
 
Company Contact Address Date Added Email Email Opt-in
Scot A. & Lori Ann Oglesby 515 East Carefree Highway, No.824
Phoenix, AZ 85085
3/9/2009
Arizona Reporting Service, Inc. 2200 N. Central Ave. -502
Phoenix, AZ 85004-1481
3/9/2009
Randy Ward 6819 W. Aive Libre
Peoria, AZ 85382
11/24/2009
Matthew Neubert 1200 W. Washington
Phoenix, AZ 85007-0000
2/20/2009
Alan Baskin 80 East Rio Salado Parkway, Suite 511
Tempe, AZ 85281
3/12/2009

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