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14-003308 Office Of Financial Regulation vs. Regent Investment Advisors, Inc., And Timothy C. Mingo
 Status: Closed
Settled and/or Dismissed prior to entry of RO/FO on Friday, October 31, 2014.

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Dockets
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Date
Proceedings
PDF:
Date: 10/31/2014
Proceedings: Order Closing File and Relinquishing Jurisdiction. CASE CLOSED.
PDF:
Date: 10/31/2014
Proceedings: Joint Motion to Relinquish Jurisdiction filed.
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Date: 09/18/2014
Proceedings: Notice of Taking Witness' Deposition (of Timothy C. Mingo) filed.
PDF:
Date: 09/05/2014
Proceedings: Order Granting Continuance and Re-scheduling Hearing by Video Teleconference (hearing set for November 21, 2014; 9:00 a.m.; Miami, FL).
PDF:
Date: 08/29/2014
Proceedings: Joint Motion for Continuance of Final Hearing filed.
PDF:
Date: 08/26/2014
Proceedings: Notice of Appearance (Michael Lawrence) filed.
PDF:
Date: 07/25/2014
Proceedings: Order of Pre-hearing Instructions.
PDF:
Date: 07/25/2014
Proceedings: Notice of Hearing by Video Teleconference (hearing set for September 23, 2014; 9:00 a.m.; Miami and Tallahassee, FL).
PDF:
Date: 07/25/2014
Proceedings: Joint Response to Initial Order filed.
PDF:
Date: 07/23/2014
Proceedings: (Petitioner's) Notice of Service (of Interlocking Discovery Request) filed.
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Date: 07/21/2014
Proceedings: Initial Order.
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Date: 07/21/2014
Proceedings: Petition for Formal Administrative Hearing filed.
PDF:
Date: 07/21/2014
Proceedings: Administrative Complaint and Notice of Rights filed.
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Date: 07/21/2014
Proceedings: Agency referral filed.

Case Information

Judge:
JOHN G. VAN LANINGHAM
Date Filed:
07/21/2014
Date Assignment:
07/21/2014
Last Docket Entry:
10/31/2014
Location:
Miami, Florida
District:
Southern
Agency:
Office of Financial Regulation
 

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