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S-20774A-10-0494

Kenneth Joseph Plein, a married man, Mary Kathryn Plein aka


Securities

Securities - General

Closed

12/15/2010

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

10-0494

 
Filing Date
Description Filed By Filed For Document Details PDF
6/11/2018 Decision - Directing the Administrative Closure of the Docket Kay Mecca, Docket Administrator (#76731)
5/31/2018 Returned Certified Mail Thomas K. Irvine
5/15/2018 Procedural Order - Directing the Administrative Closure of the Docket Marc E. Stern, Administrative Law Judge - Hearing Division, A.C.C.
7/7/2016 Response to Motion Mark Dinell, Assistant Director, Securities Division A.C.C. A.C.C.
6/30/2016 Motion/Request for an Extension of Time Chance Peterson Victim Patricia Peterson
5/31/2016 Transcript - Securities Coash & Coash
5/20/2016 Return Receipt/Green Card Thomas Irvine
5/9/2016 Return Receipt/Green Card Coash & Coash
5/3/2016 Procedural Order - Sets a Status Conference Marc E. Stern, Administrative Law Judge - A.C.C. A.C.C.
4/27/2016 Motion/Request - Miscellaneous Mark Dinell, Assistant Director, Securities Division A.C.C. A.C.C.
2/29/2016 Response to Motion Chance Peterson Victim
2/24/2016 Response to Motion Mark Dinell, Assistant Director, Securities Division A.C.C. A.C.C.
2/22/2016 Motion/Request for an Extension of Time Thomas K.Irvine Patricia Peterson
2/12/2016 Response Mark Dinell, Assistant Director, Securities Division A.C.C. A.C.C.
2/1/2016 Motion/Request - Miscellaneous Thomas K. Irvine, Atty Patricia Peterson
3/28/2011 Return Receipt/Green Card James Kneller
3/21/2011 Decision A.C.C. (#72238)
3/15/2011 Return Receipt/Green Card James Kneller
3/4/2011 Proposed Consent Order from the Securities Division Matthew Neubert, Director of Securities
12/29/2010 Affidavit/Certification - Service Guy Phillips
12/15/2010 Application - Securities Matthew Neubert, Director of Securities
Decision # Decision Date Description PDF
72238 3/21/2011 Decision
76731 6/11/2018 Decision - Directing the Administrative Closure of the Docket
 
Location Type Date Time Completed Details Download Outlook Calendar
H.R. #1 Contingent Open Meeting (If Needed) 3/16/2011 1:00 PM 3/16/2011
N/A Due - Rehearing Application 4/11/2011 8:00 AM 4/12/2011
H.R. #1 Status Conference 5/19/2016 10:00 AM 12/29/2016
Case Staff
Name Area Assigned
Marc Stern Hearing 12/27/2010
Michael Dailey Securities 12/17/2010
Guy Phillips Securities 12/17/2010
Marc Stern Hearing 12/27/2010
 
Company Contact Address Date Added Email Email Opt-in
Thomas Irvine ASU ALUMNI LAW GROUP
111 East Taylor Street, Suite 120, MC8520
Phoenix, AZ 85004
5/3/2016
COASH & COASH COURT REPORTING, VIDEO AND VIDEOCONFERENCING
1802 North 7th Street
Phoenix, AZ 85006
5/3/2016
Matthew Neubert 1200 W. Washington
Phoenix, AZ 85007-0000
12/15/2010

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