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S-20930A-15-0211

Franklin AAA Holdings, LLC; Anthony Clavien


Securities

Securities - General

Compliance Due

6/24/2015

Notice of opportunity for hearing regarding proposed order to cease and desist, order for restitution, order for administrative penalities, and order for other affirmative action.

15-0211

 
Filing Date
Description Filed By Filed For Document Details PDF
12/14/2016 Return Receipt/Green Card John C. Kelly
12/14/2016 Return Receipt/Green Card John C. Kelly
12/12/2016 Return Receipt/Green Card Dana Pierson
12/12/2016 Return Receipt/Green Card Dana pPierson
12/5/2016 Decision - Order to Cease & Desist A.C.C. (75821)
12/5/2016 Decision - Order to Cease & Desist A.C.C. (75822)
11/18/2016 Return Receipt/Green Card John C. Kelly
11/16/2016 Return Receipt/Green Card John C. Kelly
11/16/2016 Return Receipt/Green Card Dana Pierson
11/16/2016 Return Receipt/Green Card Dana Pierson
11/10/2016 Open Meeting Agenda Jodi Jerich, Executive Director
11/3/2016 Securities Division Memorandum & Proposed Order Matthew Neubert, Director of Securities Division
11/3/2016 Securities Division Memorandum & Proposed Order Matthew Neubert, Director of Securities Division
10/27/2016 Return Receipt/Green Card John C. Kelly
10/27/2016 Return Receipt/Green Card Coash & Coash
10/20/2016 Procedural Order - Vacates a Hearing Marc E. Stern, Administrative Law Judge - Hearing Division, A.C.C.
10/18/2016 Securities Division Motion/Request to Continue a Hearing Ryan J. Millecam, Atty - Securities Division
8/24/2016 List of Witnesses and/or Exhibits John C. Kelly Anthony Clavien
8/23/2016 Securities Division Response to Motion/Reply to Response to Motion Ryan J. Millecam, Atty - Securities Division
8/23/2016 Securities Division Consent to Email Service Ryan J. Millecam, Atty - Securities Division
8/18/2016 Motion/Request - Miscellaneous John C. Kelly Anthony Clavien
8/10/2016 Transcript - Securities Coash & Coash
8/8/2016 Return Receipt/Green Card John C. Kelly
8/8/2016 Return Receipt/Green Card Coash & Coash
8/1/2016 Procedural Order - Sets a Hearing Marc E. Stern, Administrative Law Judge - A.C.C. A.C.C.
8/1/2016 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service Arthur Schmeiser Securities Division of the Arizona Corporation Commission
5/31/2016 Transcript - Securities Coash & Coash
5/25/2016 Return Receipt/Green Card John C. Kelly
5/23/2016 Return Receipt/Green Card Coash & Coash
5/17/2016 Procedural Order - Sets a Status Conference Marc E. Stern, Administrative Law Judge - A.C.C. A.C.C.
5/2/2016 Return Receipt/Green Card John C. Kelly
5/2/2016 Return Receipt/Green Card Coash & Coash
4/26/2016 Affidavit/Certification - Service Michael D. Brokaw A.C.C.
4/26/2016 Procedural Order Approving Consent to Email Service Marc E. Stern, Administrative Law Judge - A.C.C. A.C.C.
4/25/2016 Consent to Email Service John C. Kelly Respondent Anthony Clavien
4/20/2016 Return Receipt/Green Card John C. Kelly
4/20/2016 Return Receipt/Green Card Coash & Coash
4/15/2016 Answer John C. Kelly Respondent Anthony Clavien
4/13/2016 Procedural Order - Sets a Pre-Hearing Marc E. Stern, Administrative Law Judge - A.C.C. A.C.C.
4/5/2016 Request for a Hearing John C. Kelly Respondent Anthony Clavien
6/24/2015 Application - Securities - Notice of Opportunity Ryan J. Millecam, Atty - Securities Division, A.C.C.
Decision # Decision Date Description PDF
75821 12/5/2016 Decision - Order to Cease & Desist
75822 12/5/2016 Decision - Order to Cease & Desist
 
Location Type Date Time Completed Details Download Outlook Calendar
H.R. #1 Pre-hearing Conference 5/17/2016 10:00 AM 12/29/2016
H.R. #2 Status Conference 7/28/2016 10:00 AM 12/29/2016
N/A Due - Witness List 8/24/2016 4:00 PM
N/A Due - Exhibits 8/24/2016 4:00 PM 12/29/2016
H.R. #1 Open Meeting 11/17/2016 10:00 AM 12/29/2016
N/A Due - Rehearing Application 12/27/2016 4:00 PM 12/27/2016
N/A Due - Rehearing Application 12/27/2016 4:00 PM 12/27/2016
Case Staff
Name Area Assigned
Marc Stern Hearing 7/1/2015
Michael Brokaw Securities 8/19/2016
Ryan Millecam Securities 6/25/2015
Dee Morin Securities 6/25/2015
Dulance Morin Securities 6/25/2015
Marc Stern Hearing 7/1/2015
 
Company Contact Address Date Added Email Email Opt-in
Matthew Neubert 1200 W. Washington
Phoenix, AZ 85007-0000
6/24/2015
John C. Kelly COPPERSMITH BROCKELMAN PLC
2800 N. Central Avenue,Suite 1200
Phoenix, AZ 85004
4/13/2016 jkelly@cblawyers.com
Dana Pierson Franklin AAA Holdings LLC c/o Antiquties Holdings
7740 N. 16th Street, Ste.150
Phoenix, AZ 85020
11/3/2016

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