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S-20726A-10-0062

David E. Walsh and Lorene Walsh


Securities

Securities - General

Closed

2/19/2010

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

10-0062

 
Filing Date
Description Filed By Filed For Document Details PDF
7/30/2012 Returned Certified Mail David Walsh
6/26/2012 Decision A.C.C. (#73246)
6/14/2012 Hearing Division Proposed Amendment Hearing Division
6/5/2012 Securities Recommended Opinion & Order from the Hearing Division Ernest G. Johnson, Executive Director, A.C.C.
8/30/2011 Notice of Filing - Miscellaneous William W. Black Securities Division
8/17/2011 Returned Certified Mail David Walsh
7/27/2011 Transcript Arizona Reporting Service, Inc. - Court Reporters
7/27/2011 Exhibit Arizona Reporting Service, Inc. - Court Reporters
7/11/2011 Return Receipt/Green Card Edward Gartenberg
7/5/2011 Return Receipt/Green Card Paul Winick
6/22/2011 Decision A.C.C. (#72424)
6/16/2011 Return Receipt/Green Card Edward Gartenberg
6/13/2011 Return Receipt/Green Card Paul Winick
6/2/2011 Proposed Consent Order from the Securities Division Matthew Neubert, Director of Securities
4/29/2011 Returned Certified Mail David Walsh
4/19/2011 Procedural Order - Admits an Attorney Pro Hac Vice Marc E. Stern, Administrative Law Judge - A.C.C.
4/18/2011 Return Receipt/Green Card Edward Gartenberg
4/14/2011 Motion/Request - Miscellaneous Paul A. Winick
4/14/2011 Notice of Filing - Miscellaneous Paul A. Winick
4/14/2011 Response to Motion William W. Black Securities Division
4/12/2011 Procedural Order - Grants a Miscellaneous Motion/Request Marc E. Stern, Administrative Law Judge - A.C.C.
4/11/2011 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
4/1/2011 Response William W. Black, Assistant Chief Counsel of Enforcement - Securities Division, A.C.C.
3/30/2011 Motion/Request to Continue a Hearing Edward Gartenberg, Atty. Christopher A. & Julie S. Jensen and Roldolfo & Linda Preciado
3/30/2011 Procedural Order - To continue hearing Marc E. Stern, Administrative Law Judge - A.C.C.
3/25/2011 List of Witnesses and/or Exhibits Edward Gartenberg, Atty. Christopher A. & Julie S. Jensen and Roldolfo & Linda Preciado
3/25/2011 Response to Motion Edward Gartenberg, Atty. Christopher A. & Julie S. Jensen and Roldolfo & Linda Preciado
3/24/2011 Motion/Request - Miscellaneous William W. Black Securities Division
2/7/2011 Returned Certified Mail David Walsh
1/14/2011 Return Receipt/Green Card Edward Gartenberg
1/10/2011 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
1/4/2011 Procedural Order - Sets a Hearing Marc E. Stern, Administrative Law Judge - A.C.C.
12/28/2010 Motion/Request to Continue a Hearing Edward Gartenberg
11/12/2010 Returned Certified Mail David Walsh (unclaimed)
10/18/2010 Return Receipt/Green Card Edward Gartenberg
10/15/2010 Transcript Arizona Reporting Service, Inc. - Court Reporters
10/14/2010 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
10/12/2010 Return Receipt/Green Card Paul Winick
9/30/2010 Procedural Order - Sets a Hearing Marc E. Stern, Administrative Law Judge - A.C.C.
8/6/2010 Returned Certified Mail No Signature (David Walsh)
8/2/2010 Request for a Hearing David E. Walsh
7/22/2010 Return Receipt/Green Card Paul Winick
7/19/2010 Return Receipt/Green Card Edward Gartenberg, Atty. Christopher A. & Julie S. Jensen and Roldolfo Preciado
7/16/2010 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
7/9/2010 Procedural Order - Grants an Extension of Time Marc E. Stern, Administrative Law Judge - A.C.C.
7/7/2010 Transcript Arizona Reporting Service, Inc. - Court Reporters
6/30/2010 Procedural Order - Sets a Status Conference Marc E. Stern, Administrative Law Judge - A.C.C.
6/14/2010 Response David E. Walsh - Respondent
5/17/2010 Transcript Arizona Reporting Service, Inc. - Court Reporters
5/5/2010 Procedural Order - Sets a Status Conference Marc E. Stern, Administrative Law Judge - A.C.C.
4/22/2010 Procedural Order - Admits an Attorney Pro Hac Vice Lyn Farmer, Chief Hearing Officer - A.C.C.
4/21/2010 Response to Motion William W. Black - Securities Division, A.C.C.
4/20/2010 Notice of Filing - Miscellaneous Paul A. Winick, Atty. Christopher A. & Julie S. Jensen and Roldolfo & Linda Preciado
4/20/2010 Notice of Filing - Miscellaneous Paul Winick, Atty. Christopher A. & Julie S. Jensen and Roldolfo & Linda Preciado
4/20/2010 Motion/Request - Miscellaneous Paul Winick, Atty. Christopher A. & Julie S. Jensen and Roldolfo & Linda Preciado
4/19/2010 Affidavit/Certification - Service Edward J. McIntyre
4/9/2010 Return Receipt/Green Card Edward Gartenberg, Atty. Christopher A. & Julie S. Jensen and Roldolfo & Linda Preciado
4/5/2010 Return Receipt/Green Card Heather Stanton Arizona Reporting Services, Inc.
4/5/2010 Return Receipt/Green Card Paul Winick, Atty. Christopher A. & Julie S. Jensen and Roldolfo & Linda Preciado
3/31/2010 Procedural Order - Sets a Pre-Hearing Marc E. Stern, Administrative Law Judge - A.C.C.
3/26/2010 Request for a Hearing Paul Winick, Atty. Christopher A. & Julie S. Jensen and Roldolfo & Linda Preciado
3/26/2010 Response Paul Winick, Atty. Christopher A. & Julie S. Jensen and Roldolfo & Linda Preciado
3/24/2010 Return Receipt/Green Card Edward Gartenberg, Atty. Christopher A. & Julie S. Jensen and Roldolfo Preciado
3/23/2010 Return Receipt/Green Card Paul Winick, Atty. Christopher A. & Julie S. Jensen and Roldolfo Preciado
3/22/2010 Return Receipt/Green Card Heather Stanton Arizona Reporting Service, Inc.
3/18/2010 Procedural Order - Sets a Pre-Hearing Marc E. Stern, Administrative Law Judge - A.C.C.
3/15/2010 Affidavit/Certification - Service Michael J. Rice - Securities Division, A.C.C.
3/8/2010 Request for a Hearing Edward Gartenberg, Atty. Christopher Jensen, Julie Shayne Jensen and Rodolfo Preciado
3/2/2010 Affidavit/Certification - Service Michael J. Rice - Securities Division, A.C.C.
3/1/2010 Affidavit/Certification - Service Michael J. Rice - Securities Division, A.C.C.
2/19/2010 Application - Securities Matthew Neubert, Director of Securities
Decision # Decision Date Description PDF
72424 6/22/2011 Decision
73246 6/26/2012 Decision
 
Location Type Date Time Completed Details Download Outlook Calendar
H.R. #1 Contingent Open Meeting (If Needed) 6/16/2011 10:00 AM 6/16/2011
H.R. #1 Securities Prehearing Conference 5/4/2010 9:30 AM 5/7/2010
H.R. #1 Status Conference 6/22/2010 9:30 AM 6/23/2010
H.R. #1 Status Conference 9/30/2010 9:30 AM 9/30/2010
N/A Due - Response 8/6/2010 4:00 PM
N/A Due - Exhibits 12/17/2010 4:00 PM 12/17/2010
N/A Due - Witness List 12/17/2010 4:00 PM
H.R. #1 Hearing 7/11/2011 10:00 AM 7/11/2011
H.R. #2 Hearing 7/12/2011 9:30 AM 7/13/2011
H.R. #2 Hearing 7/13/2011 9:30 AM 7/13/2011
H.R. #2 Hearing 7/14/2011 9:30 AM 7/15/2011
N/A Due - Rehearing Application 7/12/2011 8:00 AM 7/13/2011
N/A Due - Rehearing Application 7/16/2012 8:00 AM 7/16/2012
Case Staff
Name Area Assigned
Marc Stern Hearing 2/23/2010
Black Securities 3/5/2010
Michael Rice Securities 3/5/2010
Marc Stern Hearing 2/23/2010
William Black Securities 3/5/2010
 
Company Contact Address Date Added Email Email Opt-in
Paul Winick 9121 E. Tanque Verde Rd., Suit 105
Tucson, AZ 85749
3/18/2010
Matthew Neubert 1200 W. Washington
Phoenix, AZ 85007-0000
2/19/2010
Edward Gartenberg 801 S. Figueroa St., Suite 2170
Los Angeles, CA 90017
3/18/2010
David Walsh 540 Brickell Key Dr. - 1024
Miami, FL 33131
6/30/2010

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