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15-002719 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 Monday, July 6, 2015.

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Dockets
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Date
Proceedings
PDF:
Date: 07/06/2015
Proceedings: Order Closing File and Relinquishing Jurisdiction. CASE CLOSED.
PDF:
Date: 07/06/2015
Proceedings: Joint Motion to Relinquish Jurisdiction filed.
PDF:
Date: 05/26/2015
Proceedings: Amended Notice of Hearing by Video Teleconference (hearing set for July 23, 2015; 9:00 a.m.; Miami and Tallahassee, FL; amended as to Miami hearing location).
PDF:
Date: 05/26/2015
Proceedings: Order of Pre-hearing Instructions.
PDF:
Date: 05/26/2015
Proceedings: Notice of Hearing by Video Teleconference (hearing set for July 23, 2015; 10:00 a.m.; West Palm Beach and Tallahassee, FL).
PDF:
Date: 05/21/2015
Proceedings: Notice of Service (of Discovery) filed.
PDF:
Date: 05/21/2015
Proceedings: Joint Response to Initial Order filed.
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Date: 05/18/2015
Proceedings: Initial Order.
PDF:
Date: 05/18/2015
Proceedings: Notice of Appearance (Michael Lawrence) filed.
PDF:
Date: 05/18/2015
Proceedings: Petition for Formal Administrative Hearing filed.
PDF:
Date: 05/18/2015
Proceedings: Administrative Complaint and Notice of Rights filed.
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Date: 05/18/2015
Proceedings: Agency referral filed.

Case Information

Judge:
CATHY M. SELLERS
Date Filed:
05/18/2015
Date Assignment:
05/18/2015
Last Docket Entry:
07/06/2015
Location:
Miami, Florida
District:
Southern
Agency:
Office of Financial Regulation
 

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