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James Jonathon Fraser Buchanan, CRD#2452897 and Lori A. Buch


Securities - General



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


Filing Date
Description Filed By Filed For Document Details PDF
3/13/2009 Return Receipt/Green Card Lori A. Buchanan - Respondent
3/13/2009 Return Receipt/Green Card James Jonathon Fraser Buchanan - Respondent
2/24/2009 Decision A.C.C. (70751)
2/2/2009 Proposed Consent Order from the Securities Division Matthew Neubert, Director of Securities
1/13/2009 Securities Division - Notice of Opportunity Matthew Neubert, Director of Securities
1/13/2009 Miscellaneous - Notice of Errata Pamela T. Johnson
1/13/2009 Affidavit/Certification - Service Micharl J. Rice
12/11/2008 Procedural Order - Grants a Miscellaneous Motion/Request Marc E. Stern, Administrative Law Judge - A.C.C.
12/5/2008 Staff's Motions/Requests Pamela T. Johnson
9/30/2008 Affidavit/Certification - Service Guy Phillips
9/11/2008 Application - Securities Matthew Neubert, Director of Securities
Decision # Decision Date Description PDF
70751 2/24/2009 Decision
Location Type Date Time Completed Details Download Outlook Calendar
H.R. #1 Contingent Open Meeting (If Needed) 2/19/2009 10:00 AM 2/20/2009
N/A Due - Rehearing Application 3/16/2009 8:00 AM 3/16/2009
Case Staff
Name Area Assigned
P. Johnson Securities 10/24/2008
Marc Stern Hearing 9/16/2008
Guy Phillips Securities 10/24/2008
Marc Stern Hearing 9/16/2008
Company Contact Address Date Added Email Email Opt-in
James Jonathon Fraser & Lori A. Buchanan 12754 East Garcia Street
Dewey, AZ 86327-7275
Matthew Neubert 1200 W. Washington
Phoenix, AZ 85007-0000

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