Commissioner of Securities vs. L.H. Ross & Company, Inc.

Case Details
Case Number 03-1380 SE
Case Type SE Sec of State Securities
Case Name Commissioner of Securities vs. L.H. Ross & Company, Inc.
Commissioner z John J. Kopp
Case Status Archived
Date Created 2003-07-08 10:33:07
Date Closed 2006-04-27 10:25:27
Case Appointments
Type Location Attendees Subject Status Begin End
Hearing Set for Graham, C 03-1380 SE Commissioner of Securities vs. L.H. Ross & Company, Inc. Continued 2004-01-08 09:00:00 2004-01-08 17:00:00
Hearing Set for Cancelled 2004-04-28 09:00:00 2004-04-28 17:00:00
Hearing Set for JC KoppJ@exchange2003.intra.mo.gov K: #03-1380 SE Commissioner of Securities vs. L.H. Ross & Company, Inc.[Mr. J. Christopher Wehrle, Mr. Trevor S. Bossert] Continued 2004-12-07 09:00:00 2004-12-07 17:00:00
Hearing Set for JCMO KoppJ@exchange2003.intra.mo.gov K: #03-1380 SE Commissioner of Securities vs. L.H. Ross & Company, Inc.[Mr. J. Christopher Wehrle, Mr. Trevor S. Bossert] Cancelled 2005-03-08 09:00:00 2005-03-08 17:00:00
Hearing Set for JCMo John.Kopp@oa.mo.gov K: #03-1380 SE Commissioner of Securities vs. L.H. Ross & Company, Inc.[Mr. Trevor S. Bossert] Held 2006-01-30 09:00:00 2006-01-30 17:00:00
Correspondence
Reason Comments Date Sent Documents
Hearing Notice sent-noh 9:00 AM, Thursday, January 8, 2004, CG/AHC, one day. NOC/NOH mailed certified 7160 3901 9844 8656 5325 rb. 2003-07-16 00:00:00
Order Granting Extension of Time Resp has until 9/3/03 to file answer/ sh 2003-08-22 00:00:00
Hearing Notice sent-Ord Grant Contin-Reschedule JANUARY 8, 2004 HEARING CONTINUED/ORDER ISSUED. Reschedule 9:00 AM, Wednesday, April 28, 2004, JJK/AHC, one day rb. 2003-12-31 09:27:00
Hearing Contin Granted Ord mailed-reschedule later APRIL 28, 2004 HEARING CANCELLED/ORDER ISSUED rb. 2004-04-22 15:55:00
Order Issued Parties shall file status report by 6/21/04. sh 2004-05-21 08:50:00
Order Issued status report due August 24, 2004 rb. 2004-06-23 08:37:00
Hearing Notice sent-Rescheduled Ltr 9:00 AM, Tuesday, December 7, 2004, JJK one day rb. 2004-08-20 10:25:00
Hearing Notice sent-Ord Grant Contin-Reschedule DECEMBER 7, 2004 HEARING CONTINUED, ORDER ISSUED. Reschedule 9:00 AM, Tuesday, March 8, 2005, JJK one day rb. 2004-12-03 16:00:00
Hearing Contin Granted Ord mailed-reschedule later MARCH 8, 2005 HEARING CANCELLED, ORDER ISSUED rb. 2005-03-04 12:48:00
Order Show Cause Why it Should Not be Set for Hrg by August 31, 2005 rb. 2005-08-09 10:00:00
Order Granting Pet Mt-Leave-file 1st Amend Compl First Amended Petition is filed 8/31/05 - granting mtn to withdraw as counsel for Resp. sh 2005-09-02 08:37:00
Hearing Notice sent-Rescheduled Ltr 9:00 AM, Monday, January 30, 2006, JJK one day rb. 2005-10-19 10:58:00
Objection Letter to Resp sent - ROBDU Obj due 1/12/06 to mtn for entry of default judgment. sh 2006-01-05 08:05:00
Order Issued denying Ptr's mtn for default judgment. sh 2006-01-13 13:02:00
Transcript Letter to Pet State Party 2006-01-30 13:07:00
Transcript Letter to Resp Non-State Party 2006-01-30 13:09:00
Briefing Schedule mailed Ptr brief due 3/2/06 - no replies. sh 2006-01-31 08:03:00
Transcript Sent to Pet State Attorney ds 2006-02-03 07:47:00
Order Issued Ptr shall file substitute copy of Ex. A by 3/23/06. sh 2006-03-15 11:40:00
Order Granting Extension of Time Ptr has until 4/3/06 to file supplement to Exhibit A. sh 2006-03-27 12:56:00
Case Documents
ID Type Comments Date Received
16211902 Certified Receipt filed 7160 3901 9844 8656 5325 signed by G. Schittron(?) dated 7/21/03. nb 2003-07-24 15:58:00
16211924 Answer - Respondent filed by Certified Mail received 9/8/03. Slightly expanded version (see no. 49.) nb 2003-09-03 15:02:00
16211952 Motion for Ext of Time to File Answer filed and Entry of Appearance for Respondent. nb 2003-08-20 16:00:00
16212117 Answer - Respondent filed by Certified Mail received on 9/8/03. nb 2003-09-03 15:02:00
16212229 Miscellaneous filed by Respondent by Fax. Signature page of Answer. nb 2003-09-05 15:07:00
16212744 Certificate of Serv - Interrogatories filed by Petitioner and Request for Documents were mailed. nb 2003-09-12 10:48:00
16213601 Complaint Filed bb 2003-07-07 10:37:00
16514750 Certificate of Serv - Interrogatories filed by Respondent and First Request for Production of Documents. nb 2003-11-24 10:00:00
16514751 Certificate of Serv filed by Respondent of Responses to First Interrogatories and Request for Production of Documents. nb 2003-11-24 10:00:00
16520550 Motion for Continuance filed by Respondent by Fax. nb 2003-12-30 16:35:00
16520591 Correspondence
16521000 Hard Copy filed of Motion for Continuance by Respondent. nb 2004-01-05 10:37:00
16526146 Certificate of Serv filed by Petitioner of Responses to First Interrogatories and First Request for Production of Documents. nb 2004-02-03 10:50:00
16539721 Motion for Continuance filed by Respondent by Fax. nb 2004-04-20 15:18:00
16539810 Correspondence
16545288 Status report filed by Petitioner nb 2004-05-20 16:45:00
16545311 Correspondence
16550915 Status report filed by Petitioner nb 2004-06-21 10:45:00
16551564 Correspondence
16562697 Status report filed by Petitioner Settlement agreement not reached. Request to set hearing. nb 2004-08-18 15:45:00
16563189 Correspondence
16582658 Motion for Continuance filed by Petitioner nb 2004-12-02 15:15:00
16582685 Correspondence
16601319 Motion for Continuance filed by Respondent by Fax. nb 2005-03-04 11:00:00
16601353 Correspondence
16602139 Hard Copy filed of Motion for Continuance by Respondent. nb 2005-03-09 09:45:00
16637637 Correspondence
16643836 Motion for Leave to file Amended Petition, filed by Commissioner of Securities, with First Amended Petition for Findings of Fact and Conclusions of Law received. nb 2005-08-31 10:00:00
16644179 Request for leave to Withdraw as Counsel of Record for Respondent. (by Fax) nb 2005-09-01 14:00:00
16644306 Correspondence
16644968 Hard Copy filed of Request for leave to Withdraw as Counsel of Record for Respondent. nb 2005-09-07 08:45:00
16646676 Returned Mail Received - Order (amended petition) marked Undeliverable as addressed. nb 2005-09-15 09:00:00
16653510 Correspondence
16658622 Returned Mail Received - Hearing Notice to Respondent, marked Return to sender undeliverable as addressed. nb 2005-11-10 09:15:00
16666676 Motion filed by Petitioner for Entry of Default Judgment. nb 2005-12-27 14:45:00
16668317 Correspondence
16670398 Correspondence
16671120 Returned Mail Received Objection letter marked Undeliverable as addressed. 2006-01-18 10:00:00
16672338 Returned Mail Received - Order denying motion for default judgment, marked Return to Sender undeliverable as addressed. nb 2006-01-25 13:30:00
16673225 Transcript filed SE v. Ross -bjb 2006-01-30 13:07:00
16673227 Correspondence
16673229 Correspondence
16673362 Correspondence
16674205 Correspondence
16675940 Returned Mail Received Transcript letter to L.H. Ross & Company, Inc. in Boca Raton, FL. nb 2006-02-10 11:45:00
16679692 Proposed Find of Fact/Concl of Law filed by Petitioner. nb 2006-03-02 11:30:00
16682472 Correspondence
16684700 Response filed by Petitioner to Order dated 3/15/06. nb 2006-03-23 14:46:00
16685109 Correspondence
16685647 Correspondence filed by Petitioner with Certification page signed by Jodi Young of the NASD. nb 2006-03-29 11:05:00
16691692 Correspondence
17552639 Decision 2006-04-27 00:00:00