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S-20719A-09-0583

Morgan Financial, L.L.C.


Securities

Securities - General

Closed

12/30/2009

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

09-0583

 
Filing Date
Description Filed By Filed For Document Details PDF
5/31/2013 Correspondence - Miscellaneous Dan Delaney
4/8/2013 Compliance to a Decision Charles Berry, Atty. Respondents
11/8/2012 Compliance to a Decision Charles R. Berry
10/1/2012 Notice of Filing - Miscellaneous Charles R. Berry Morgan Financial, L.L.C.
8/28/2012 Return Receipt/Green Card Charles R. Berry
8/21/2012 Decision A.C.C. (#73358)
8/13/2012 Return Receipt/Green Card Charles R. Berry
7/23/2012 Notice of Filing - Miscellaneous Phong Huynh Securities Division
7/6/2012 Notice of Filing - Miscellaneous Charles R. Berry, Atty.
4/20/2012 Comments - Miscellaneous Comments Various Consumers Consumer
4/11/2012 Comments - Miscellaneous Comments Merle L. and Patricia L. Sheffer - Consumer Consumer
4/11/2012 Correspondence - Miscellaneous Jim Hartgraves Morgan Financial, LLC
4/11/2012 Comments - Miscellaneous Comments Gordon K. Sheffer - Consumer Consumer
4/10/2012 Return Receipt/Green Card Charles Berry
4/10/2012 Correspondence - Miscellaneous John Stueber, President Summit Capital
4/2/2012 Correspondence - Miscellaneous John Sturbar
4/2/2012 Response Richard Lieberman, Atty. Michael and Kathryn Graf
3/19/2012 Exception(s) - Response to Recommended Order Charles R. Berry
3/15/2012 Correspondence - Miscellaneous Jim Dolan
3/8/2012 Procedural Order - Grants an Extension of Time Marc E. Stern, Administrative Law Judge - A.C.C.
3/7/2012 Motion/Request for an Extension of Time Charles R. Berry
2/29/2012 Correspondence - Miscellaneous Jim Dolan
2/28/2012 Securities Recommended Opinion & Order from the Hearing Division Marc E. Stern, Administrative Law Judge - A.C.C.
12/22/2011 Response Paul Huynh Securities Division
12/15/2011 Notice of Filing - Miscellaneous Melissa S. Ho
11/14/2011 Notice of Filing - Miscellaneous Melissa S. Ho
10/26/2011 Response Paul Huynh, Atty. - Securities Division, A.C.C.
10/12/2011 Response/Reply to a Procedural Order Charles R. Berry
9/28/2011 Procedural Order - Sets Miscellaneous Filing Dates Marc E. Stern, Administrative Law Judge - A.C.C.
8/1/2011 Post Hearing, Opening, Initial Brief Phong (Paul) Huynh Securities Division
8/1/2011 Notice of Filing - Miscellaneous Charles R. Berry
6/2/2011 Transcript Arizona Reporting Service, Inc. - Court Reporters
6/2/2011 Transcript Arizona Reporting Service, Inc. - Court Reporters
6/2/2011 Exhibit Arizona Reporting Service, Inc. - Court Reporters
6/2/2011 Exhibit Arizona Reporting Service, Inc. - Court Reporters
5/23/2011 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
5/23/2011 Return Receipt/Green Card Charles Berry
5/13/2011 Exhibit Melissa S. Ho
5/9/2011 Transcript Arizona Reporting Service, Inc. - Court Reporters
5/9/2011 Procedural Order - To continue hearing Marc E. Stern, Administrative Law Judge - A.C.C.
3/28/2011 Response/Reply to a Procedural Order Melissa S. Ho, Atty. Morgan Financial, L.L.C.
3/25/2011 Exhibit Melissa S. Ho, Atty. Morgan Financial, L.L.C.
3/23/2011 Notice of Filing - Miscellaneous Paul Huynh Securities Division
3/17/2011 List of Witnesses and/or Exhibits Melissa S. Ho
2/22/2011 Answer Melissa S. Ho
1/18/2011 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
1/18/2011 Return Receipt/Green Card Charles Berry
1/13/2011 Notice of Filing - Miscellaneous Matthew Neubert, Director of Securities
1/7/2011 Procedural Order - To continue hearing Marc E. Stern, Administrative Law Judge - A.C.C.
1/6/2011 Stipulation Melissa S. Ho
12/21/2010 Motion/Request to Amend a Proposed Order Phong (Paul) Huynh
12/13/2010 List of Witnesses and/or Exhibits (Securities) Charles R. Berry
11/18/2010 Transcript Arizona Reporting Service, Inc. - Court Reporters
11/15/2010 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
11/3/2010 Procedural Order - Sets a Hearing Marc E. Stern, Administrative Law Judge - A.C.C.
11/2/2010 Stipulation Phong (Paul) Huynh
10/1/2010 Response/Reply to a Procedural Order Paul Huynh, Atty. - Securities Division, A.C.C.
9/28/2010 Notice of Appearance Charles R. Berry
8/12/2010 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
8/11/2010 Return Receipt/Green Card Donald Newman
7/30/2010 Procedural Order - To continue hearing Marc E. Stern, Administrative Law Judge - A.C.C.
7/27/2010 Stipulation Phong (Paul) Huynh
5/7/2010 Transcript Arizona Reporting Service, Inc. - Court Reporters
5/3/2010 Return Receipt/Green Card Donald Newman, Atty. Morgan Financial, L.L.C.
4/30/2010 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
4/26/2010 Procedural Order - Sets a Hearing Marc E. Stern, Administrative Law Judge - A.C.C.
3/22/2010 Transcript Arizona Reporting Service, Inc. - Court Reporters
3/15/2010 Return Receipt/Green Card Heather Stanton Arizona Reporting Service, Inc.
3/15/2010 Return Receipt/Green Card Donald Newman, Atty. Morgan Financial, L.L.C.
3/10/2010 Procedural Order - Sets a Status Conference Marc E. Stern, Administrative Law Judge - A.C.C.
2/16/2010 Response Donald J. Newman, Atty. Morgan Financial, L.L.C.
2/12/2010 Stipulation Phong (Paul) Huynh, Atty. - Securities Division, A.C.C.
2/12/2010 Procedural Order - Continues a Pre-Hearing Conference Marc E. Stern, Administrative Law Judge - A.C.C.
2/8/2010 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
2/5/2010 Return Receipt/Green Card Donald Newman, Atty. Morgan Financial, L.L.C.
2/2/2010 Procedural Order - Sets a Pre-Hearing Marc E. Stern, Administrative Law Judge - A.C.C.
1/28/2010 Notice of Appearance Donald J. Newman, Atty. Morgan Financial, L.L.C.
1/14/2010 Affidavit/Certification - Service Michael D. Brokaw - Securities Division, A.C.c.
1/14/2010 Affidavit/Certification - Service Michael D. Brokaw - Securities Division, A.C.C.
1/14/2010 Affidavit/Certification - Service Michael D. Brokaw - Securities Division, A.C.C.
12/30/2009 Application - Securities Matthew Neubert, Director of Securities
Decision # Decision Date Description PDF
73358 8/21/2012 Decision
 
Location Type Date Time Completed Details Download Outlook Calendar
H.R. #1 Pre-hearing Conference 3/9/2010 9:30 AM 3/9/2010
H.R. #2 Status Conference 4/26/2010 10:00 AM 4/27/2010
H.R. #2 Hearing 11/3/2010 9:30 AM 11/4/2010
N/A Due - Exhibits 10/1/2010 4:00 PM 10/1/2010
N/A Due - Witness List 10/1/2010 4:00 PM
H.R. #1 Hearing 4/26/2011 10:00 AM 4/26/2011
N/A Due - Witness List 3/18/2011 4:00 PM
H.R. #1 Contingent Open Meeting (If Needed) 3/15/2012 10:00 AM 3/19/2012
H.R. #1 Hearing 5/16/2011 10:00 AM 5/17/2011
H.R. #1 Hearing 5/17/2011 9:30 AM 5/18/2011
N/A Due - Exceptions 3/19/2012 4:00 PM 3/19/2012
N/A Due - Rehearing Application 9/10/2012 8:00 AM 9/10/2012
Case Staff
Name Area Assigned
Marc Stern Hearing 1/13/2010
Paul Huynh Securities 1/7/2010
Michael Brokaw Securities 1/7/2010
Marc Stern Hearing 1/13/2010
 
Company Contact Address Date Added Email Email Opt-in
Matthew Neubert 1200 W. Washington
Phoenix, AZ 85007-0000
12/30/2009
Charles Berry One East Washington St., Ste. 1200
Phoenix, AZ 85004
11/3/2010

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