Case Number: Orange Case #: 06CC07158, OAH # L2006090112

Date of Initial Action: 06/16/06

Defendants/Respondents: Steven Arthur Scott; Benchmark Financial Services; Benchmark Financial Services, Inc.

Adminstrative Action Respondents:

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