Scott, Steven Arthur
License or Case Number
Orange Case #: 06CC07158, OAH # L2006090112
Date of Initial Action
06/16/2006
Date of Most Recent Action
07/20/2007
Defendant/Respondent
Steven Arthur Scott; Benchmark Financial Services; Benchmark Financial Services, Inc.
Documents
- 06/16/06 – Complaint for Injunctive Relief; Civil Penalties; and Ancillary Relief; Violation of Corporations Code Section 25230 (Unlicensed Investment Adviser); Violation of California Corporations Code section 25235 (Fraud by an Investment Adviser;
- 06/16/06 – Memorandum of Points & Authorities in Support of Notice of Ex Parte Application and Application for Temporary Restraining Order; and Request for Order to Show Cause re: Preliminary Injunction
- 06/16/06 – Notice of Ex Parte Application and Application for Temporary Restraining Order; and Request for Order to Show Cause re: Preliminary Injunction
- 06/16/06 – Temporary Restraining Order and Order to Show Cause re: Preliminary Injunction
- 07/05/06 – Stipulation to Entry of an Order Issuing a Preliminary Injunction between Plaintiff and Defendants.
- 07/10/06 – First Amended Complaint for Injuctive Relief; Civil Penalties; and Ancillary Relief; Violation of California Corporations Code Section 25230 (Unlicensed Investment Adviser); Violation of California Corporations Code Section 25235 (Fraud by an Investment Adviser).
- 08/03/06 Accusation
- 05/24/07 – Office of Administative Law Decision – Rejection
- 07/16/07 – Office of Administative Law Decision – Settlement
- 07/20/07 – Stipulation to Entry of an Order issuing an Amended Preliminary Injunction, Civil Penalties, Denial land Bar by Defendants
About the Regulated Entity
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