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Docket Details




S-20823A-11-0407

Thomas Laurence Hampton, CRD#2470192, and Jane Doe Hampton,


Securities

Securities - General

Compliance Due

11/10/2011

Temporary Order to Cease and Desist and Notice of Opportunity for Hearing.

11-0407

 
Filing Date
Description Filed By Filed For Document Details PDF
4/8/2015 Return Receipt/Green Card Thomas Hampton
3/30/2015 Return Receipt/Green Card Timothy & Patricia Moran
3/26/2015 Returned Certified Mail Thomas Hampton
3/24/2015 Return Receipt/Green Card Michael Curran
3/24/2015 Return Receipt/Green Card Neal Bookspan
3/16/2015 Decision A.C.C. (#74988)
3/16/2015 Decision A.C.C. (#74989)
2/17/2015 Proposed Consent Order from the Securities Division Matthew Neubert, Director of Securities Arizona Corporation Commission
2/17/2015 Proposed Consent Order from the Securities Division Matthew Neubert, Director of Securities Arizona Corporation Commission
2/10/2015 Transcript - Securities Coash & Coash
1/15/2015 Notice of Appearance Neal H. Bookspan Timothy D Moran and Patricia Moran
12/2/2014 Motion/Request to Modify a Procedural Order Michael D. Curran & Phong Huynh Patrick and Kelly Moran & ACC Securities Division
10/1/2014 Transcript Coash & Coash
9/30/2014 Return Receipt/Green Card Coash & Coash
9/30/2014 Return Receipt/Green Card Michael Curran
9/26/2014 Procedural Order - Sets a Hearing Marc E. Stern, Administrative Law Judge - A.C.C. Arizona Corporation Commission
9/23/2014 Returned Certified Mail Patricia Moran
9/18/2014 Answer Timothy D. Moran & Patricia Moran
8/29/2014 Returned Certified Mail Timothy Moran
8/27/2014 Return Receipt/Green Card Michael Curran
8/27/2014 Return Receipt/Green Card Coash & Coash
8/22/2014 Procedural Order - Sets a Procedural Schedule/Conference Marc E. Stern, Administrative Law Judge - A.C.C. Arizona Corporation Commission
7/17/2014 Affidavit/Certification - Service Annalisa Weiss (Patricia Moran) Arizona Corporation Commission
5/28/2014 Affidavit/Certification - Service Annalisa Weiss (Timothy Moran) Arizona Corporation Commission
5/9/2014 Request for a Hearing Michael D. Curran Respondents
5/6/2014 Returned Certified Mail Timothy and Patricia Moran
4/28/2014 Amendment to an Application Matthew Neubert, Director of Securities Arizona Corporation Commission
4/18/2014 Procedural Order - Grants a Miscellaneous Motion/Request Marc E. Stern, Administrative Law Judge - A.C.C. Arizona Corporation Commission
3/28/2014 Motion/Request - Miscellaneous Michael D. Curran & Phong (Paul) Huynh Patrick and Kelly Moran & Arizona Corporation Commission
3/10/2014 Returned Certified Mail Patricia Moran
3/10/2014 Returned Certified Mail Timothy Moran
2/24/2014 Procedural Order - Denies a Miscellaneous Motion/Request Marc E. Stern, Administrative Law Judge - A.C.C.
1/30/2014 Returned Certified Mail Thomas Hampton
1/28/2014 Response to Motion Phong (Paul) Huynh, Atty, Securities Division
1/15/2014 Motion/Request - Miscellaneous Michael D. Curran Patrick and Kelly Moran
1/14/2014 Return Receipt/Green Card Stephanie Yager
1/14/2014 Return Receipt/Green Card Michael Curran
1/13/2014 Return Receipt/Green Card Stephanie Yager
1/7/2014 Decision A.C.C. (#74240)
12/27/2013 Returned Certified Mail Timothy Moran
12/23/2013 Returned Certified Mail Timothy Moran
12/23/2013 Returned Certified Mail Patricia Moran
12/23/2013 Returned Certified Mail Patricia Moran
12/13/2013 Return Receipt/Green Card Michael Curran
12/3/2013 Proposed Consent Order from the Securities Division Matthew J. Neubert, Director, Securities Division A.C.C.
11/21/2013 Returned Certified Mail Stephanie Yager
11/21/2013 Returned Certified Mail Thomas Hampton
10/29/2013 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
10/29/2013 Return Receipt/Green Card Michael Curran
10/29/2013 Transcript - Securities Arizona Reporting Service, Inc. - Court Reporters
10/24/2013 Returned Certified Mail Timothy Moran
10/24/2013 Returned Certified Mail Patricia Moran
10/24/2013 Procedural Order - Sets a Hearing Marc E. Stern, Administrative Law Judge - A.C.C.
10/7/2013 Returned Certified Mail Patricia Moran
10/7/2013 Returned Certified Mail Timothy Moran
10/3/2013 Return Receipt/Green Card Stephanie Yager
10/2/2013 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
10/2/2013 Return Receipt/Green Card Michael Curran
10/1/2013 Returned Certified Mail Thomas Hampton
9/25/2013 Procedural Order - To continue hearing Marc E. Stern, Administrative Law Judge - A.C.C.
9/25/2013 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
9/24/2013 Motion/Request to Continue a Hearing Phong (Paul) Huynh, Atty, Securities Division
9/23/2013 Return Receipt/Green Card Michael Curran
9/23/2013 Return Receipt/Green Card Stephanie Yager
9/3/2013 Procedural Order - To continue hearing Marc E. Stern, Administrative Law Judge - A.C.C.
8/29/2013 Return Receipt/Green Card Stephanie Yager
8/29/2013 Motion/Request to Continue a Hearing Phong (Paul) Huynh, Atty, Securities Division
7/26/2013 Transcript - Securities Arizona Reporting Service, Inc. - Court Reporters
7/25/2013 Return Receipt/Green Card Michael Curran
7/24/2013 Return Receipt/Green Card Marta Hetzer for Arizona Reporting Service, Inc. - Court Reporters
7/18/2013 Procedural Order - Sets a Procedural Schedule/Conference Marc E. Stern, Administrative Law Judge - A.C.C.
7/15/2013 Returned Certified Mail Timothy & Patricia Moran
7/8/2013 Returned Certified Mail Thomas Hampton
7/8/2013 Returned Certified Mail Stephanie Yager
6/21/2013 Returned Certified Mail Thomas Hampton
6/21/2013 Returned Certified Mail Stephanie Yager
6/18/2013 Return Receipt/Green Card Timothy Moran
6/17/2013 Return Receipt/Green Card Patricia Moran
6/17/2013 Return Receipt/Green Card Michael Curran
6/10/2013 Procedural Order - Modifies a [Previously Issued] Procedural Order Marc E. Stern, Administrative Law Judge - A.C.C.
6/5/2013 Motion/Request for an Extension of Time Michael D. Curran, Atty Patrick and Kelly Moran
6/3/2013 Return Receipt/Green Card Michael Curran
5/21/2013 Procedural Order - Sets a Status Conference Marc E. Stern, Administrative Law Judge - A.C.C.
5/3/2013 Motion/Request - Miscellaneous Phong (Paul) Huynh, Atty, Securities Division Securities Division
4/15/2013 Returned Certified Mail Patricia Moran
4/15/2013 Returned Certified Mail Timothy Moran
4/1/2013 Return Receipt/Green Card Thomas Hampton
3/14/2013 Return Receipt/Green Card Paul Roshka
3/14/2013 Return Receipt/Green Card Michael Curran
3/13/2013 Return Receipt/Green Card Stephanie Yager
3/4/2013 Procedural Order - Grants a Miscellaneous Motion/Request Marc E. Stern, Administrative Law Judge - A.C.C.
2/22/2013 Motion/Request - Miscellaneous Paul J. Roshka, Jr
12/14/2012 Correspondence - Miscellaneous Michael D. Curran, Atty. Pat and Kelly Moran
12/12/2012 Request for a Hearing Timothy J. Sabo, Atty. Thomas Laurence Hampton, CRD#2470192, and Jane Doe Hampton,
12/4/2012 Notice of Filing - Miscellaneous Phong Huynh Securities Division
12/4/2012 Amendment to an Application Matthew Neubert, Director of Securities
11/23/2012 Return Receipt/Green Card Thomas Hampton
11/13/2012 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
11/13/2012 Return Receipt/Green Card Stephanie Yager
11/13/2012 Return Receipt/Green Card Timothy J. Sabo, Atty.
11/13/2012 Return Receipt/Green Card Micheal Curran
11/2/2012 Procedural Order - Vacates a Pre-Hearing Marc E. Stern, Administrative Law Judge - A.C.C.
9/28/2012 Response to Motion Timothy J. Sabo, Atty. Timothy D. and Patricia Moran
9/18/2012 Response Timothy J. Sabo, Atty. Timothy D. and Patricia Moran
9/17/2012 Response to Motion Phong (Paul) Huynh, Atty, Securities Division
9/11/2012 Return Receipt/Green Card Thomas Hampton
9/11/2012 Return Receipt/Green Card Paul Roshka
9/6/2012 Response to Motion Phong (Paul) Huynh, Atty, Securities Division Securities Division
9/5/2012 Return Receipt/Green Card Michael Curran
9/5/2012 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
9/5/2012 Transcript Arizona Reporting Service, Inc. - Court Reporters
9/4/2012 Return Receipt/Green Card Stephanie Yager
8/27/2012 Return Receipt/Green Card Thomas Hampton
8/24/2012 Response Timothy J. Sabo, Atty. Timothy D. Moran & Patricia Moran
8/22/2012 Procedural Order - Sets a Pre-Hearing Marc E. Stern, Administrative Law Judge - A.C.C.
8/22/2012 Motion/Request - Miscellaneous Michael D. Curran Patrick and Kelly Moran
8/21/2012 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
8/20/2012 Return Receipt/Green Card Michael Curran
8/20/2012 Return Receipt/Green Card Stephanie Yager
8/20/2012 Return Receipt/Green Card Paul Roshka
8/20/2012 Motion/Request - Miscellaneous Timothy J. Sabo, Atty. Timothy D & Patricia Moran
8/9/2012 Response Michael D. Curran Patrick and Kelly Moran
8/8/2012 Procedural Order - Sets a Pre-Hearing Marc E. Stern, Administrative Law Judge - A.C.C.
8/7/2012 Request for a Hearing Michael D. Curran Maynard Cronin Erickson Curran & Reiter, P.L.C.
8/6/2012 Request for a Hearing Timothy J. Sabo, Atty. Respondents Timothy D. and Patricia Moran
8/2/2012 Affidavit/Certification - Service Annalisa Weiss Securities Division
8/2/2012 Affidavit/Certification - Service Annalisa Weiss Securities Division
7/12/2012 Notice of Filing - Miscellaneous Matthew Neubert, Director of Securities
7/9/2012 Procedural Order - Vacates a Hearing Marc E. Stern, Administrative Law Judge - A.C.C.
7/6/2012 Stipulation Ryan J. Millecam, Atty. - Securities Division, A.C.C.
6/27/2012 Motion/Request - Miscellaneous Phong(Paul) Huynh
5/29/2012 Returned Certified Mail Thomas Hampton
5/7/2012 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
4/25/2012 Procedural Order - Miscellaneous Marc E. Stern, Administrative Law Judge - A.C.C.
4/24/2012 Stipulation Phong (Paul) Huynh, Atty. - Securities Division, A.C.C.
3/5/2012 Return Receipt/Green Card Thomas Hampton
2/21/2012 Return Receipt/Green Card Alan Baskin
2/9/2012 Procedural Order - Grants a Miscellaneous Motion/Request Marc E. Stern, Administrative Law Judge - A.C.C.
2/6/2012 Motion/Request - Miscellaneous Alan S. Baskin
1/20/2012 Transcript Arizona Reporting Service, Inc. - Court Reporters
1/17/2012 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
1/17/2012 Return Receipt/Green Card Alan Baskin
1/17/2012 Answer Alan S. Baskin
1/6/2012 Procedural Order - Sets a Status Conference Marc E. Stern, Administrative Law Judge - A.C.C.
1/3/2012 Return Receipt/Green Card Alan Baskin
1/3/2012 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
12/20/2011 Return Receipt/Green Card Alan Baskin
12/20/2011 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
12/20/2011 Amendment to an Application Matthew Neubert, Director of Securities
12/15/2011 Procedural Order - Sets a Pre-Hearing Marc E. Stern, Administrative Law Judge - A.C.C.
12/12/2011 Stipulation Phong (Paul) Huynh Securities Division
12/6/2011 Motion/Request - Miscellaneous Phong (Paul) Huynh Securities Division
12/6/2011 Procedural Order - Sets a Pre-Hearing Marc E. Stern, Administrative Law Judge - A.C.C.
11/30/2011 Request for a Hearing Alan S. Baskin
11/14/2011 Affidavit/Certification - Service Annalisa Weiss Securities Division
11/10/2011 Application - Securities Mark Dinell, Atty. - Securities Division A.C.C.
Decision # Decision Date Description PDF
74240 1/7/2014 Decision
74988 3/16/2015 Decision
74989 3/16/2015 Decision
 
Location Type Date Time Completed Details Download Outlook Calendar
H.R. #2 Securities Prehearing Conference 1/5/2012 10:00 AM 1/5/2012
H.R. #1 Open Meeting 12/17/2013 10:00 AM 12/17/2013
H.R. #1 Open Meeting 12/18/2013 10:00 AM 12/18/2013
H.R. #1 Securities Prehearing Conference 8/21/2012 11:00 AM 8/21/2012
H.R. #1 Status Conference 7/16/2013 10:00 AM 7/16/2013
H.R. #2 Status Conference 10/17/2013 2:00 PM 10/17/2013
N/A Due - Witness List 3/28/2014 4:00 PM
N/A Due - Exhibits 3/28/2014 4:00 PM 3/28/2014
N/A Due - Rehearing Application 1/27/2014 8:00 AM 1/27/2014
H.R. #1 Procedural Conference 9/18/2014 10:00 AM 9/18/2014
H.R. #1 Hearing 1/26/2015 10:00 AM 1/26/2015
H.R. #1 Hearing 1/27/2015 9:30 AM 1/27/2015
H.R. #1 Hearing 1/28/2015 9:30 AM 1/29/2015
H.R. #1 Hearing 1/29/2015 9:30 AM 1/29/2015
N/A Due - Witness List 12/1/2014 4:00 PM
H.R. #1 Open Meeting 3/3/2015 10:00 AM 3/4/2015
H.R. #1 Open Meeting 3/2/2015 10:00 AM 3/3/2015
N/A Due - Rehearing Application 4/6/2015 8:00 AM 4/7/2015
N/A Due - Rehearing Application 4/6/2015 8:00 AM 4/7/2015
Case Staff
Name Area Assigned
Marc Stern Hearing 11/21/2011
Clyde Hanselman Securities 12/2/2014
Paul Huynh Securities 11/15/2011
Annalisa Weiss Securities 11/15/2011
Marc Stern Hearing 11/21/2011
 
Company Contact Address Date Added Email Email Opt-in
Matthew Neubert 1200 W. Washington
Phoenix, AZ 85007-0000
11/10/2011
Timothy Moran 6720 N. Scottsdale Road, Suite 350
Scottsdale, AZ 85253
8/22/2014
Neal Bookspan 3200 N. Central Ave, 20th Floor
Phoenix, AZ 85012
2/17/2015
Timothy & Patricia Moran 4545 E. Joshua Tree Ln
Scottsdale, AZ 85253
3/4/2013
Stephanie Yager 9026 E. Calle De Las Brisas
Scottsdale, AZ 85255
8/8/2012
Thomas Hampton 7 Fair Oaks
St. Louis, MO 63124
3/26/2015
Michael Curran 3200 N. Central Ave Ste 1800
Phoenix, AZ 85012
8/8/2012
Patricia Moran 419 Horton Highway
Mineola, NY 11501
8/22/2014
COASH & COASH COURT REPORTING, VIDEO AND VIDEOCONFERENCING
1802 North 7th Street
Phoenix, AZ 85006
4/18/2014

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