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04-001590 Dale Veitch vs. Office Of Financial Regulation
 Status: Closed
Recommended Order on Wednesday, November 17, 2004.

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Summary: Petitioner`s past serious violations of Florida`s securities laws warrant a denial of his application for registration as an associated person. (Note: The Recommended Order is not available for viewing)
  • Document: Recommended Order
  • Issued: 11/17/2004
  • Summary: Petitioner`s past serious violations of Florida`s securities laws warrant a denial of his application for registration as an associated person. (Note: The Recommended Order is not available for viewing)
Dockets
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Date
Proceedings
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Date: 01/04/2005
Proceedings: Final Order filed.
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Date: 01/03/2005
Proceedings: Agency Final Order
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Date: 11/17/2004
Proceedings: Recommended Order
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Date: 11/17/2004
Proceedings: Recommended Order cover letter identifying the hearing record referred to the Agency.
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Date: 11/17/2004
Proceedings: Recommended Order (hearing held July 27, July 29, July 30, and August 2 and 3, 2004). CASE CLOSED; not available for viewing.
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Date: 09/21/2004
Proceedings: Affidavit Concerning Proposed Recommended Order filed by R. Schott.
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Date: 09/21/2004
Proceedings: Notice of Filing Affidavit Concerning Proposed Recommended Order filed by R. Schott.
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Date: 09/17/2004
Proceedings: (Corrected) Proposed Recommended Order filed by the Respondent (corrected as to paragraph 67).
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Date: 09/14/2004
Proceedings: Letter to Judge Staros from R. Schott enclosing case cites filed.
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Date: 09/14/2004
Proceedings: Notice of Filing Petitioner`s Proposed Recommended Order filed.
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Date: 09/13/2004
Proceedings: Proposed Recommended Order (filed by the Respondent).
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Date: 09/13/2004
Proceedings: Petitioner`s Proposed Recommended Order filed.
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Date: 09/01/2004
Proceedings: Order on Admissibility of Deposition (from rulings made after hearing).
Date: 08/24/2004
Proceedings: Transcripts (Volumes I through V) filed.
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Date: 08/23/2004
Proceedings: Respondent`s Responsive Memorandum filed.
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Date: 08/20/2004
Proceedings: Petitioner`s Response to Respondent`s Memorandum of Law Concerning Respondent`s Objections to the Schoeppl and Veitch Depositions filed.
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Date: 08/13/2004
Proceedings: Petitioner, Dale Veitch`s, Memorandum of Law in Opposition to the Admissions of Depositions filed.
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Date: 08/13/2004
Proceedings: Memorandum of Law (filed by Respondent via facsimile).
Date: 08/11/2004
Proceedings: Transcript of Proceedings (Volumes I through III) filed.
Date: 08/02/2004
Proceedings: CASE STATUS: Hearing Held.
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Date: 08/02/2004
Proceedings: Petitioner, Dale Veitch`s, Notice of Serving Supplemental Response to Respondent, Department of Financial Services, Office of Financial Regulation`s Interrogatories to Dale E. Veitch filed.
Date: 07/29/2004
Proceedings: CASE STATUS: Hearing Partially Held; continued to August 2, 2004.
Date: 07/27/2004
Proceedings: CASE STATUS: Hearing Partially Held; continued to July 29, 2004.
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Date: 07/26/2004
Proceedings: Amendment to Respondent`s Exhibit List (filed Respondent via facsimile).
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Date: 07/22/2004
Proceedings: Notice to Appear at Trial with Documents (filed by T. White; directed to Ryan Stokes).
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Date: 07/22/2004
Proceedings: Notice to Appear at Trial with Documents (filed by T. White; directed to Richard White).
Date: 07/21/2004
Proceedings: Request for Confidential Treatment; Prehearing Stipulation filed by T. White and R. Scott (not available for viewing).
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Date: 07/20/2004
Proceedings: Respondent`s Motion for Protective Order (filed via facsimile).
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Date: 07/20/2004
Proceedings: Petitioner`s Response to Respondent`s Second Motion for Official Recognition and Petitioner`s Motion to Strike or Seal Respondent`s Motion filed.
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Date: 07/19/2004
Proceedings: Petitioner`s Third Amended Witness and Exhibit List filed.
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Date: 07/16/2004
Proceedings: Notice of Taking Depositions (P. Davis and R. Ward) filed via facsimile.
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Date: 07/16/2004
Proceedings: Notice of Cancellation of Depositions filed by Petitioner.
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Date: 07/13/2004
Proceedings: Petitioner`s Second Amended Witness and Exhibit List filed.
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Date: 07/12/2004
Proceedings: Petitioner`s Supplemental Reply to Response to Petitioner`s Motion for Protective Order (filed via facsimile).
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Date: 07/12/2004
Proceedings: Order on Motion for Protective Order.
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Date: 07/09/2004
Proceedings: Cross Notice of Taking Deposition (M. Koenig) filed.
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Date: 07/09/2004
Proceedings: Petitioner`s Amended Witness and Exhibit List filed.
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Date: 07/07/2004
Proceedings: Letter to Judge Staros from R. Schott requesting that Motion for Protective Order be denied (filed via facsimile).
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Date: 07/06/2004
Proceedings: Respondent`s Reply to Petitioner`s Response to Motion for Official Recognition (filed via facsimile).
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Date: 07/02/2004
Proceedings: Notice of Taking Deposition (C. Lanni, L. Chirns, P. Davis, R. Kramer, R. Frank, G. Kistler, K. Cober, N. Morris, M. Biatek, A. Garafolo, T. Baker, R. Bogle, and G. Lipson) filed.
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Date: 07/01/2004
Proceedings: Notice of Taking Deposition (R. Stokes and W. Reilly) filed.
Date: 06/30/2004
Proceedings: Respondent, Office of Financial Regulation`s Second Motion for Official Recognition filed (not available for viewing).
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Date: 06/30/2004
Proceedings: Petitioner`s Reply to Response to Motion for Protective Order filed.
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Date: 06/30/2004
Proceedings: Petitioner`s Response to Motion for Official Recognition filed.
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Date: 06/30/2004
Proceedings: Petitioner`s Reply to Response to Motion for Protective Order filed.
Date: 06/21/2004
Proceedings: Motion for Official Recognition filed by Respondent (not available for viewing).
Date: 06/18/2004
Proceedings: Response to Motion for Protective Order filed by Respondent (not available for viewing).
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Date: 06/17/2004
Proceedings: Notice of Taking Deposition (R. Bogle, G. Lipson, C. Pratt, H. Pratt, J. Tobin, Mrs. Tobin, R. Mote, B. Lanier, H. Kuhr, R. Kramer, R. Ward) filed.
Date: 06/14/2004
Proceedings: Petitioner`s Witness and Exhibit List filed (not available for viewing).
Date: 06/10/2004
Proceedings: Motion for Protective Order filed by Petitioner (not available for viewing).
Date: 06/08/2004
Proceedings: Order on Motion to Strike (which is in the nature of a motion to dismiss, is denied; pleadings filed June 1 and May 21, 2004, the Motion to Strike filed May 14, 2004, and Notice of Denial of Application filed April 28, 2004, are not available for viewing).
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Date: 06/03/2004
Proceedings: Petitioner, Dale Veitch`s Notice of Serving First Set of Interrogatories to Respondent, Department of Financial Services, Office of Financial Regulation filed.
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Date: 06/01/2004
Proceedings: Petitioner`s Reply to Response to Motion to Strike filed (not available for viewing pursuant to June 8, 2004, order).
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Date: 05/24/2004
Proceedings: Notice of Service of Petitioner`s Response to the Office of Financial Regulation`s Interrogatories to Dale E. Veitch filed.
Date: 05/21/2004
Proceedings: Response to Motion to Strike filed by Respondent (not available for viewing pursuant to June 8, 2004, order).
Date: 05/14/2004
Proceedings: Motion to Strike filed by Petitioner (not available for viewing pursuant to June 8, 2004, order).
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Date: 05/14/2004
Proceedings: Order of Pre-hearing Instructions.
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Date: 05/14/2004
Proceedings: Notice of Hearing (hearing set for July 27 through 30, August 2, and 3, 2004; 9:30 a.m.; Tallahassee, FL).
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Date: 05/05/2004
Proceedings: Response to Initial Order (filed by Respondent via facsimile).
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Date: 05/05/2004
Proceedings: Petitioner`s Response to OFR`s First Request for Admissions filed.
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Date: 04/28/2004
Proceedings: Petitioner Dale E. Veitch`s Petition for Formal Section 120.57(1) Administrative Proceeding filed.
Date: 04/28/2004
Proceedings: Notice of Denial of Application, DFS No. 0124-S-3/04 Pursuant to Chapters 517 and 120 Florida Statues filed (not available for viewing pursuant to June 8, 2004, order).
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Date: 04/28/2004
Proceedings: Agency referral filed.
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Date: 04/28/2004
Proceedings: Initial Order.

Case Information

Judge:
BARBARA J. STAROS
Date Filed:
04/28/2004
Date Assignment:
04/28/2004
Last Docket Entry:
01/04/2005
Location:
Tallahassee, Florida
District:
Northern
Agency:
ADOPTED IN TOTO
 

Counsels