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S-20762A-10-0416

Ulf Olof Holgersson and Laverne J. Abe, formerly husband and


Securities

Securities - General

Closed

10/14/2010

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

10-0416

 
Filing Date
Description Filed By Filed For Document Details PDF
8/21/2013 Return Receipt/Green Card Gregory Larson
6/27/2013 Decision A.C.C. (#73924)
6/7/2013 Return Receipt/Green Card Gregory Larson
6/7/2013 Miscellaneous - Notice of Errata Marc E. Stern, Administrative Law Judge - A.C.C.
6/3/2013 Response/Reply to a Recommended Order Phong (Paul) Huynh, Atty, Securities Division
5/23/2013 Securities Recommended Opinion & Order from the Hearing Division Marc E. Stern, Administrative Law Judge - A.C.C.
11/10/2011 Post Hearing, Opening, Initial Brief Gregory A. Larson
11/10/2011 Memorandum William W. Black Securities Division
10/5/2011 Exhibit Arizona Reporting Service, Inc. - Court Reporters
10/5/2011 Transcript Arizona Reporting Service, Inc. - Court Reporters
9/21/2011 Return Receipt/Green Card Alan Baskin
9/21/2011 Return Receipt/Green Card Gregory Larson
9/20/2011 Stipulation William Black Securities Division
9/19/2011 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
9/15/2011 Decision A.C.C. (#72588)
9/9/2011 Motion/Request - Miscellaneous William Black Securities Division
9/7/2011 Procedural Order - To continue hearing Marc E. Stern, Administrative Law Judge - A.C.C.
9/6/2011 List of Witnesses and/or Exhibits Gregory A. Larson
9/6/2011 Motion/Request to Continue a Hearing Gregory A. Larson
9/6/2011 List of Witnesses and/or Exhibits William Black Securities Division
8/22/2011 Proposed Consent Order from the Securities Division Matthew Neubert, Director of Securities
8/22/2011 Return Receipt/Green Card Gregory Larson
8/22/2011 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
8/22/2011 Return Receipt/Green Card Alan Baskin
8/11/2011 Procedural Order - To continue hearing Marc E. Stern, Administrative Law Judge - A.C.C.
8/10/2011 Motion/Request to Continue a Hearing William W. Black Securities Division
7/20/2011 Return Receipt/Green Card Gregory Larson
7/19/2011 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
7/18/2011 Return Receipt/Green Card Alan Baskin
7/8/2011 Procedural Order - Sets a Hearing Marc E. Stern, Administrative Law Judge - A.C.C.
6/30/2011 Motion/Request for an Extension of Time William W. Black Securities Division
6/2/2011 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
6/2/2011 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
6/1/2011 Return Receipt/Green Card Alan Baskin
5/31/2011 Return Receipt/Green Card Alan Baskin
5/31/2011 Return Receipt/Green Card La Verne Abe
5/31/2011 Return Receipt/Green Card Gregory Larson
5/23/2011 Procedural Order - To continue hearing Marc E. Stern, Administrative Law Judge - A.C.C.
5/18/2011 Procedural Order - To continue hearing Marc E. Stern, Administrative Law Judge - A.C.C.
5/18/2011 Notice of Appearance Gregory A. Larson
5/16/2011 Notice of Appearance Alan S. Baskin
5/2/2011 Return Receipt/Green Card La Verne Abe
5/2/2011 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
4/29/2011 Returned Certified Mail La Verne Abe
4/25/2011 Procedural Order - Reschedules a Hearing Marc E. Stern, Administrative Law Judge - A.C.C.
4/11/2011 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
4/5/2011 Procedural Order - To continue hearing Marc E. Stern, Administrative Law Judge - A.C.C.
3/9/2011 Motion/Request to Continue a Hearing William W. Black Securities Division
12/16/2010 Transcript Arizona Reporting Service, Inc. - Court Reporters
12/15/2010 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
12/14/2010 Return Receipt/Green Card La Verne Abe
12/7/2010 Procedural Order - Sets a Hearing Marc E. Stern, Administrative Law Judge - A.C.C.
11/23/2010 Substitution of Counsel William W. Black
11/18/2010 Answer LaVerne J. Abe
11/18/2010 Answer Ulf Holgersson
11/16/2010 Return Receipt/Green Card La Verne Abe
11/15/2010 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
11/3/2010 Procedural Order - Sets a Pre-Hearing Marc E. Stern, Administrative Law Judge - A.C.C.
11/1/2010 Request for a Hearing LaVerne Abe - Respondent
11/1/2010 Request for a Hearing Ulf Holgersson - Respondent
10/19/2010 Affidavit/Certification - Service Michael D. Brokaw
10/19/2010 Affidavit/Certification - Service Michael D. Brokaw
10/14/2010 Application - Securities Matthew Neubert, Director of Securities
Decision # Decision Date Description PDF
72588 9/15/2011 Decision
73924 6/27/2013 Decision
 
Location Type Date Time Completed Details Download Outlook Calendar
H.R. #1 Contingent Open Meeting (If Needed) 9/8/2011 10:00 AM 9/8/2011
H.R. #2 Pre-hearing Conference 12/2/2010 11:00 AM 12/2/2010
H.R. #1 Hearing 9/21/2011 10:00 AM 9/22/2011
H.R. #2 Hearing 9/22/2011 9:30 AM 9/22/2011
N/A Due - Witness List 9/6/2011 4:00 PM
N/A Due - Rehearing Application 10/5/2011 8:00 AM 10/5/2011
H.R. #1 Open Meeting 6/11/2013 10:00 AM 6/12/2013
H.R. #1 Open Meeting 6/12/2013 10:00 AM 6/12/2013
N/A Due - Rehearing Application 7/17/2013 8:00 AM 7/18/2013
Case Staff
Name Area Assigned
Marc Stern Hearing 10/19/2010
Black Securities 11/23/2010
Aaron Ludwig Securities 10/15/2010
Michael Brokaw Securities 10/15/2010
William Black Securities 11/23/2010
Marc Stern Hearing 10/19/2010
 
Company Contact Address Date Added Email Email Opt-in
Matthew Neubert 1200 W. Washington
Phoenix, AZ 85007-0000
10/15/2010
Gregory Larson 7373 E. Doubletree Ranch Rd.
Suite 170
Scottsdale, AZ 85258
5/19/2011

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