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S-20755A-10-0342

Five Star Capital Markets, LLC


Securities

Securities - General

Closed

8/17/2010

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

10-0342

 
Filing Date
Description Filed By Filed For Document Details PDF
3/15/2011 Return Receipt/Green Card Jeffrey Matura
3/14/2011 Return Receipt/Green Card Michael Roberts
3/14/2011 Return Receipt/Green Card Michael Roberts
3/14/2011 Return Receipt/Green Card Michael Roberts
3/14/2011 Return Receipt/Green Card Jeffrey Matura (not signed)
3/14/2011 Return Receipt/Green Card Jeffrey Matura
3/7/2011 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
3/3/2011 Decision A.C.C. (#72210)
3/3/2011 Decision A.C.C. (#72211)
3/3/2011 Decision A.C.C. (#72212)
3/1/2011 Return Receipt/Green Card Jeffrey Matura
2/28/2011 Return Receipt/Green Card Michael Roberts
2/18/2011 Procedural Order - Vacates a Hearing Marc E. Stern, Administrative Law Judge - A.C.C.
2/17/2011 Motion/Request - Miscellaneous Wendy Coy Securities Division
2/11/2011 Return Receipt/Green Card Michael Roberts
2/11/2011 Return Receipt/Green Card Michael Roberts
2/11/2011 Return Receipt/Green Card Jeffrey Matura
2/11/2011 Return Receipt/Green Card Jeffrey Matura
2/11/2011 Return Receipt/Green Card Michael Roberts
2/11/2011 Return Receipt/Green Card Jeffrey Matura
2/10/2011 Stipulation Wendy Coy Securities Division
2/10/2011 Securities Division Proposed Amendment Securities Division
2/10/2011 Securities Division Proposed Amendment Securities Division
2/4/2011 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
2/2/2011 Proposed Consent Order from the Securities Division Matthew Neubert, Director of Securities
2/2/2011 Proposed Consent Order from the Securities Division Matthew Neubert, Director of Securities
2/2/2011 Proposed Consent Order from the Securities Division Matthew Neubert, Director of Securities
1/31/2011 Return Receipt/Green Card Jeffrey Matura
1/31/2011 Return Receipt/Green Card Michael Roberts
1/24/2011 Return Receipt/Green Card Michael Roberts
1/24/2011 Return Receipt/Green Card Jeffrey Matura
1/24/2011 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
1/21/2011 Motion/Request to Continue a Hearing Wendy Coy Securities Division
1/21/2011 Procedural Order - To continue hearing Marc E. Stern, Administrative Law Judge - A.C.C.
1/13/2011 Motion/Request for an Extension of Time Wendy Coy
1/13/2011 Procedural Order - Sets Miscellaneous Filing Dates Marc E. Stern, Administrative Law Judge - A.C.C.
1/10/2011 Return Receipt/Green Card Jeffrey Matura
1/10/2011 Return Receipt/Green Card Michael Roberts
1/10/2011 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
1/5/2011 Procedural Order - Sets a Hearing Marc E. Stern, Administrative Law Judge - A.C.C.
12/22/2010 Motion/Request for an Extension of Time Wendy Coy
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 Michael Roberts
9/30/2010 Procedural Order - Sets a Hearing Marc E. Stern, Administrative Law Judge - A.C.C.
9/21/2010 Answer Michael D. Roberts
9/16/2010 Answer Jeffrey C. Matura Respondents
9/15/2010 Return Receipt/Green Card Jeffrey Matura
9/13/2010 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
9/8/2010 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
9/1/2010 Procedural Order - Sets a Pre-Hearing Marc E. Stern, Administrative Law Judge - A.C.C.
8/30/2010 Request for a Hearing Michael Roberts
8/27/2010 Procedural Order - Sets a Pre-Hearing Marc E. Stern, Administrative Law Judge - A.C.C.
8/25/2010 Request for a Hearing Jeffrey C. Matura
8/23/2010 Affidavit/Certification - Service Michael J. Rice
8/23/2010 Affidavit/Certification - Service Michael J. Rice
8/23/2010 Affidavit/Certification - Service Michael J. Rice
8/17/2010 Application - Securities Matthew Neubert, Director of Securities
Decision # Decision Date Description PDF
72210 3/3/2011 Decision
72211 3/3/2011 Decision
72212 3/3/2011 Decision
 
Location Type Date Time Completed Details Download Outlook Calendar
H.R. #1 Contingent Open Meeting (If Needed) 2/17/2011 10:00 AM 2/17/2011
H.R. #1 Pre-hearing Conference 9/30/2010 10:30 AM 9/30/2010
N/A Due - Witness List 12/23/2010 4:00 PM
N/A Due - Exhibits 12/23/2010 4:00 PM 12/27/2010
N/A Due - Rehearing Application 3/23/2011 8:00 AM 3/23/2011
N/A Due - Rehearing Application 3/23/2011 8:00 AM 3/23/2011
N/A Due - Rehearing Application 3/23/2011 8:00 AM 3/23/2011
Case Staff
Name Area Assigned
Wendy Coy Securities 8/18/2010
Marc Stern Hearing 8/19/2010
Michael Rice Securities 8/18/2010
Marc Stern Hearing 8/19/2010
 
Company Contact Address Date Added Email Email Opt-in
Michael Roberts 8711 E. Pinnacle Peak Rd., #213
Scottsdale, AZ 85525
9/1/2010
Jeffrey Matura 1850 N. Central Ave., Ste. 500
Phoenix, AZ 85004
8/27/2010
Matthew Neubert 1200 W. Washington
Phoenix, AZ 85007-0000
8/17/2010
Arizona Reporting Service, Inc. 2200 N. Central Ave. -502
Phoenix, AZ 85004-1481
8/30/2010

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