Monterey Bay Securities, Inc.
License or Case Number: CRD No. 1017937 & 16274; File No. 915-1293, OAH # L2007090318
Date of Initial Action: 01/02/07
Defendants/Respondents: Monterey Bay Securities, Inc., and Kenneth Mark Doolittle also known as Ken Doolittle
- 01/02/07 – Desist & Refrain Order
- 04/22/07 – Accusation – For Revocation of Broker-Dealer Certificate and For Order Barring From any Employment, Management or Control of Any Broker-Dealer or Investment Adviser
- 08/09/07 – Statement in Support of Order Levying Administrative Penalties Pursuant to Corporations Code Section25252 and Claim for Ancillary Relief Pursuant to Corporations Code Section 25254
- 05/28/08 – Office of Administrative Law Decision
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