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S-20860A-12-0414

Patrick B. Hammons, CRD#1030468, and Peri Ann Hammons aka Pe


Securities

Securities - General

Closed

9/21/2012

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.

12-0414

 
Filing Date
Description Filed By Filed For Document Details PDF
8/7/2013 Return Receipt/Green Card Mark Chester
7/30/2013 Decision A.C.C. (#74018)
7/18/2013 Return Receipt/Green Card Mark Chester
7/9/2013 Return Receipt/Green Card Mark Chester
7/9/2013 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
7/2/2013 Proposed Consent Order from the Securities Division Matthew Neubert, Director of Securities
7/1/2013 Motion/Request to Continue a Hearing Ryan J. Millecam, Atty - Securities Division, A.C.C.
7/1/2013 Procedural Order - Vacates a Hearing Marc E. Stern, Administrative Law Judge - A.C.C.
3/29/2013 Return Receipt/Green Card Mark Chester
3/29/2013 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
3/15/2013 Transcript Arizona Reporting Service, Inc. - Court Reporters
3/13/2013 Procedural Order - Sets a Hearing Marc E. Stern, Administrative Law Judge - A.C.C.
2/14/2013 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
2/14/2013 Return Receipt/Green Card Mark Chester
2/6/2013 Procedural Order - Sets a Pre-Hearing Marc E. Stern, Administrative Law Judge - A.C.C.
1/10/2013 Motion/Request - Miscellaneous Ryan J. Millecam, Atty Securities Division
11/28/2012 Answer Mark D. Chester, Atty Respondents
11/6/2012 Affidavit/Certification - Service Michael D. Brokaw Securties Division
11/6/2012 Affidavit/Certification - Service Michael D. Brokaw Securities Division
10/29/2012 Affidavit/Certification - Service Michael D. Brokaw Securities Division
9/21/2012 Application - Securities Matthew Neubert, Director of Securities
Decision # Decision Date Description PDF
74018 7/30/2013 Decision
 
Location Type Date Time Completed Details Download Outlook Calendar
H.R. #1 Open Meeting 7/17/2013 10:00 AM 7/18/2013
H.R. #1 Open Meeting 7/18/2013 10:00 AM 7/18/2013
H.R. #1 Pre-hearing Conference 3/6/2013 11:00 AM 3/6/2013
H.R. #1 Hearing 7/1/2013 10:00 AM 7/1/2013
H.R. #1 Hearing 7/2/2013 9:30 AM 7/3/2013
H.R. #1 Hearing 7/3/2013 9:30 AM 7/3/2013
H.R. #1 Hearing 7/5/2013 9:30 AM 7/9/2013
N/A Due - Witness List 5/17/2013 4:00 PM
N/A Due - Rehearing Application 8/19/2013 8:00 AM 8/19/2013
Case Staff
Name Area Assigned
Marc Stern Hearing 9/28/2012
Michael Brokaw Securities 9/25/2012
Ryan Millecam Securities 9/25/2012
Marc Stern Hearing 9/28/2012
 
Company Contact Address Date Added Email Email Opt-in
Mark Chester 8777 North Gainey Center Dr., Ste 191
Scottsdale, AZ 85258
2/6/2013
Matthew Neubert 1200 W. Washington
Phoenix, AZ 85007-0000
9/24/2012
Arizona Reporting Service, Inc. 2200 N. Central Ave. -502
Phoenix, AZ 85004-1481
2/6/2013

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