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S-20825A-11-0454

Roger D. Woods


Securities

Securities - General

Closed

12/20/2011

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

11-0454

 
Filing Date
Description Filed By Filed For Document Details PDF
8/27/2012 Return Receipt/Green Card Michelle Lauer
8/23/2012 Procedural Order - Vacates a Hearing Marc E. Stern, Administrative Law Judge - A.C.C.
8/22/2012 Motion/Request - Miscellaneous Wendy Coy, Sr Counsel fot the Securities Division of the A.C.C.
8/21/2012 Decision A.C.C. (#73341)
8/8/2012 Return Receipt/Green Card Michelle Lauer
7/27/2012 Proposed Consent Order from the Securities Division Matthew Neubert, Director of Securities
6/28/2012 Return Receipt/Green Card Alan Baskin
6/25/2012 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
6/19/2012 Transcript Arizona Reporting Service, Inc. - Court Reporters
6/5/2012 Procedural Order - Sets a Hearing Marc E. Stern, Administrative Law Judge - A.C.C.
5/21/2012 Notice of Appearance Wendy Coy
3/5/2012 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
3/5/2012 Return Receipt/Green Card Michelle Lauer
2/29/2012 Transcript Arizona Reporting Service, Inc. - Court Reporters
2/21/2012 Procedural Order - Sets a Status Conference Marc E. Stern, Administrative Law Judge - A.C.C.
2/15/2012 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
2/15/2012 Return Receipt/Green Card Michelle Lauer
2/2/2012 Procedural Order - Sets a Pre-Hearing Marc E. Stern, Administrative Law Judge - A.C.C.
1/30/2012 Request for a Hearing Michelle M. Lauer
1/17/2012 Affidavit/Certification - Service Clyde J. Hanselman Securities Division
1/17/2012 Affidavit/Certification - Service Clyde J. Hanselman Securities Division
1/17/2012 Affidavit/Certification - Service Clyde J. Hanselman Securities Division
1/11/2012 Amendment to an Application Matthew Neubert, Director of Securities
1/10/2012 Procedural Order - Grants a Miscellaneous Motion/Request Marc E. Stern, Administrative Law Judge - A.C.C.
12/30/2011 Motion/Request - Miscellaneous Mike Dailey Securities Division
12/20/2011 Application - Securities Matthew Neubert, Director of Securities
Decision # Decision Date Description PDF
73341 8/21/2012 Decision
 
Location Type Date Time Completed Details Download Outlook Calendar
H.R. #1 Open Meeting 6/19/2012 10:00 AM 6/20/2012
H.R. #1 Contingent Open Meeting (If Needed) 8/9/2012 10:00 AM 8/9/2012
H.R. #1 Securities Prehearing Conference 2/16/2012 10:30 AM 2/16/2012
H.R. #2 Status Conference 6/5/2012 10:00 AM 6/5/2012
N/A Due - Rehearing Application 9/10/2012 8:00 AM 9/10/2012
Case Staff
Name Area Assigned
Wendy Coy Securities 8/23/2012
Marc Stern Hearing 12/21/2011
Clyde Hanselman Securities 12/21/2011
Michael Dailey Securities 12/21/2011
Marc Stern Hearing 12/21/2011
 
Company Contact Address Date Added Email Email Opt-in
Arizona Reporting Service, Inc. 2200 N. Central Ave. -502
Phoenix, AZ 85004-1481
2/8/2012
Lorene Walsh 540 Brickell Key Drive, Unit 1024
Miami, FL 33131
6/5/2012
Wendy Coy 1300 W. Washington 3rd Fl
Phoenix, AZ 85007
5/21/2012
David Walsh 540 Brickell Key Dr. - 1024
Miami, FL 33131
6/5/2012
Alan Baskin 80 East Rio Salado Parkway, Suite 511
Tempe, AZ 85281
6/5/2012
Michelle Lauer 80 E. Rio Salado Pkwy., Ste. 511
Tempe, AZ 85281
1/31/2012
Matthew Neubert 1200 W. Washington
Phoenix, AZ 85007-0000
12/20/2011
Jeffrey Crockett CROCKETT LAW GROUP, PLLC
2198 E. Camelback Rd., Suite 305
Phoenix, AZ 85016
6/5/2012

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