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Home » Cases Under Administrative Hearing » 07-004901

07-004901 Office Of Financial Regulation vs. Kovack Securities, Inc., And George Randy Cupples
 Status: Closed
Settled and/or Dismissed prior to entry of RO/FO on Tuesday, January 15, 2008.

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Date
Proceedings
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Date: 01/15/2008
Proceedings: Order Closing File. CASE CLOSED.
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Date: 01/15/2008
Proceedings: Motion for Order Relinquishing Jurisdiction and Cancelling Hearing filed.
Date: 01/14/2008
Proceedings: CASE STATUS: Pre-Hearing Conference Held.
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Date: 01/14/2008
Proceedings: Notice of Respondents` Intent to Use Summary Proof filed.
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Date: 01/09/2008
Proceedings: Notice of Taking Deposition (R. White) filed.
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Date: 01/08/2008
Proceedings: Notice of Taking Deposition (A. Wolper) filed.
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Date: 01/07/2008
Proceedings: Notice of Taking Deposition (representatives of Office of Financial Regulation) filed.
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Date: 12/20/2007
Proceedings: Notice of Office`s Intention to Use Summary Proof filed.
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Date: 12/20/2007
Proceedings: Notice of Taking Deposition filed.
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Date: 12/18/2007
Proceedings: Notice of Taking Depositions filed.
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Date: 12/11/2007
Proceedings: Notice of Intent to Introduce Business Records Pursuant to Written Certification of Records Custodian filed.
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Date: 12/07/2007
Proceedings: Notice of Serving Respondents` Response to Petitioner`s First Request to Produce filed.
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Date: 12/07/2007
Proceedings: Office`s Notice of Serving Answers to Interrogatories to Kovack Securities, Inc. and George Randy Cupples filed.
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Date: 12/06/2007
Proceedings: Notice of Cancellation of Deposition filed.
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Date: 11/30/2007
Proceedings: Answers to Kovack Securities` First Request to Produce filed.
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Date: 11/30/2007
Proceedings: Agreement Regarding Confidential Information filed.
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Date: 11/29/2007
Proceedings: Office`s Notice of Serving Answers to Kovack Securities` First Set of Interrogatories filed.
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Date: 11/20/2007
Proceedings: Answers to Kovak Securities` First Request for Admission filed.
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Date: 11/16/2007
Proceedings: Notice of Serving Verified Answers to Petitioner`s First Set of Interrogatories to Respondents Kovack Securities, Inc. and George Randy Cupples filed.
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Date: 11/15/2007
Proceedings: Amended Notice of Hearing by Video Teleconference (hearing set for January 22, 23, 30, and 31, 2008; 9:00 a.m.; Lauderdale Lakes and Tallahassee, FL; amended as to Hearing Dates).
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Date: 11/15/2007
Proceedings: Order Directing the Filing of Exhibits.
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Date: 11/15/2007
Proceedings: Order of Pre-hearing Instructions.
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Date: 11/15/2007
Proceedings: Notice of Hearing by Video Teleconference (hearing set for January 30 and 31, 2008; 9:00 a.m.; Lauderdale Lakes and Tallahassee, FL).
Date: 11/15/2007
Proceedings: CASE STATUS: Pre-Hearing Conference Held.
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Date: 11/08/2007
Proceedings: Office`s Notice of Serving Office`s First Request to Produce to Kovack Securities, Inc. and George Randy Cupples filed.
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Date: 11/08/2007
Proceedings: Office`s Notice of Serving Interrogatories to Kovak Securities, Inc. and George Randy Cupples filed.
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Date: 11/07/2007
Proceedings: Notice of Serving First Interrogatories to Petitioner filed.
Date: 11/07/2007
Proceedings: CASE STATUS: Pre-Hearing Conference Held.
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Date: 11/05/2007
Proceedings: Letter to Mr. Caillouet from B. Wiand regarding response to Initial Order filed.
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Date: 11/05/2007
Proceedings: Response to Initial Order filed.
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Date: 11/01/2007
Proceedings: Second Amended Response to Administrative Complaint and Request for Formal Administrative Hearing Pursuant to Section 120.569 & 120.57, Florida Statutes filed.
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Date: 11/01/2007
Proceedings: Amended Notice of Appearance of Counsel (B. Wiand and D. Helling) filed.
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Date: 10/30/2007
Proceedings: Kovack Securitie`s First Request for Admission filed.
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Date: 10/30/2007
Proceedings: Respondent Kovack Securities` First Request for Production of Documents to Petitioner filed.
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Date: 10/30/2007
Proceedings: Notice of Serving First Interrogatories to Petitioner filed.
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Date: 10/30/2007
Proceedings: Second Amended Response to Administrative Complaint and Request for Formal Administrative Hearing Pursuant to Sections 120.569 & 120.57, Florida Statutes filed.
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Date: 10/30/2007
Proceedings: Notice of Appearance of Counsel (filed by B. Wiand).
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Date: 10/29/2007
Proceedings: Initial Order.
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Date: 10/26/2007
Proceedings: Amended Response to Administrative Complaint and Request for Formal Administrative Hearing Pursuant to Sections 120.569 & 120.57, Florida Statutes filed.
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Date: 10/26/2007
Proceedings: Response to Administrative Complaint and Request for Formal Administrative Hearing Pursuant to Sections 120.569 & 120.57, Florida Statutes filed.
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Date: 10/26/2007
Proceedings: Amended Administrative Complaint for Denial of Branch Office Applications for Registration, Imposition of Administrative Penalities and Notice of Intent to Issue Cease and Desist Order with Notice of Rights filed.
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Date: 10/26/2007
Proceedings: Administrative Complaint for Denial of Branch Office Applications for Registration, Imposition of Administrative Penalities and Notice of Intent to Issue Cease and Desist Order with Notice of Rights filed.
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Date: 10/26/2007
Proceedings: Agency referral filed.

Case Information

Judge:
STUART M. LERNER
Date Filed:
10/26/2007
Date Assignment:
10/29/2007
Last Docket Entry:
01/15/2008
Location:
Lauderdale Lakes, Florida
District:
Southern
Agency:
Office of Financial Regulation
 

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