Search:
Enforcement Actions
 
By Date | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998 | 1997 |
By Case Name | A | B | C | D | E | F | G | H | I | J | K | L | M | N | O | P | Q | R | S | T | U | V | W | X | Y | Z |
   
Geary, Keith Douglas and Geary Securities, Inc. fka Capital West Securities and Frager, Norman  
Order Denying Geary Respondents’ Motion for Preclusion Order and Order Striking Department’s Exhibit Number 27 (Purported Headington Guaranty Agreement)    Filed: 2/8/2012
Order Denying Geary Respondents’ Motion for Preclusion Order and Order Striking Department Witnesses (Bank of Union Directors) and Exhibit (Bank of Union Directors' Affidavit)    Filed: 2/8/2012
Geary Respondents’ Objection and Response to ODS’ Motion for Partial Summary Decision    Filed: 2/3/2012
Defendants' Withdrawal of Motion to Close Case and Joint Stipulation to Close Case    Filed: 2/2/2012
Order relating to Geary Respondents    Filed: 2/1/2012
Order relating to Norman Frager    Filed: 2/1/2012
 
Buy Car Notes.com, Inc. and Invest In Car Notes.com, Inc. and Thompson, Bill and Harris, David  
Final Order; Agreement as to Buy Car Notes.com, Inc.; Invest in Car Notes.com, Inc.; and Bill R. Thompson    Filed: 1/31/2012
 
Geary, Keith Douglas and Geary Securities, Inc. fka Capital West Securities and Frager, Norman  
Defendants’ Motion to Close Case    Filed: 1/31/2012
 
Capital Financial Group and Keystone Equity Group, Inc. and Tucker, Robert 
Order Suspending Bench Warrant & Allowing Payment Plan    Filed: 1/30/2012
 
Geary, Keith Douglas and Geary Securities, Inc. fka Capital West Securities and Frager, Norman  
Agreed Order Concerning Revised Briefing Schedule    Filed: 1/30/2012
 
Storybook Properties, LLC and Storybook Investments WA, LLC and Story, Matthew Grady and Johnso 
Notice that Clerk has Entered Default against Defendant(s) Under LBR 7055-1(a)    Filed: 1/30/2012
 
Allstate Financial Services, LLC [CRD 18272] and Morrissey, Roxanne M. [CRD 5335151] 
Notice of Service on the Administrator and Affidavit of Compliance; Notice of Opportunity for Hearing on Enforcement Division Recommendation    Filed: 1/27/2012
 
LeBoeuf, Richard 
Plaintiffs' Motion for Summary Judgment and Brief in Support against Wilcox Family Rev Tr et al. [CJ-09-202]    Filed: 1/27/2012
 
Storybook Properties, LLC and Storybook Investments WA, LLC and Story, Matthew Grady and Johnso 
Request for Clerk to Enter Default Under LBR 7055-1(a)    Filed: 1/27/2012
 
Vernon Group, LLC (The) [CRD 129496] and Vernon, Ronald David [CRD 4729523] 
Notice of Service on the Administrator and Affidavit of Compliance; Enforcement Division Recommendation; Notice of Opportunity for Hearing on Enforcement Division Recommendation; Summary Order...    Filed: 1/26/2012
 
Bishop, Brent Robert [CRD 2348912] 
Notice of Service on the Administrator and Affidavit of Compliance; Notice of Opportunity for Hearing on Enforcement Division Recommendation    Filed: 1/25/2012
 
Cross, Anthony Lynn [CRD 3155726] 
Notice of Service on the Administrator and Affidavit of Compliance; Notice of Opportunity for Hearing on Enforcement Division Recommendation    Filed: 1/25/2012
 
Haines, Edward Alan 
Motion to Withdraw as Attorney of Record for the Defendant    Filed: 1/25/2012
 
Geary, Keith Douglas and Geary Securities, Inc. fka Capital West Securities and Frager, Norman  
ODS’ Withdrawal of Motion to Add Necessary Party and Withdrawal of Motion for Writ and Commission to take Deposition Out of State    Filed: 1/24/2012
ODS’ Response to Geary Respondents’ Supplement to Motion for Preclusion Order and Order Striking Department’s Exhibit Number 27 (Purported Headington Guaranty Agreement)    Filed: 1/23/2012
ODS’ Status Report and Proposed Hearing Date    Filed: 1/23/2012
Geary Respondents’ Supplement to Motion for Preclusion Order and Order Striking Department’s Exhibit Number 27 (Purported Headington Guaranty Agreement)    Filed: 1/17/2012
 
Accelerated Benefits Corp. and Romine, William W. (Bill) and American Financial Associates 
Order Granting Conservator's Report and Conservator's Fees and Expenses for August through October 2011    Filed: 1/13/2012
Order Granting Attorney's fees for August through October 2011    Filed: 1/13/2012
Geary, Keith Douglas and Geary Securities, Inc. fka Capital West Securities and Frager, Norman  
Norman Frager’s Reply to ODS’ Objection to Norman Frager’s Motion for Sanctions    Filed: 1/12/2012
ODS' Response to Respondents' Joint Request for Hearing on Pending Motions    Filed: 1/11/2012
Geary Respondents’ and Frager’s Joint Reply to ODS’ Objection to Respondents’ Motions to Bifurcate and Stay Net Capital Claims    Filed: 1/10/2012
Geary Respondents' and Respondent Frager's Joint Request for Hearing on Pending Motions    Filed: 1/10/2012
ODS’ Objection to Norman Frager’s Motion for Sanctions and Brief in Support    Filed: 1/9/2012
ODS' Objection to Respondents' Motions to Bifurcate and Stay Net Capital Claims    Filed: 1/3/2012
Timothy Headington's Opposition to ODS' Motion for Writ and Commission to take Deposition Out of State and Motion to Quash    Filed: 1/3/2012