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S-20757A-10-0373

Richard M. Schmerman, individually and dba Diversified Finan


Securities

Securities - General

Closed

9/9/2010

Notice of Opportunity for Hearing Regarding Proposed Order to Cease and Desist, Order of Revocation, Order of Denial and Order for Other Affirmative Action.

10-0373

 
Filing Date
Description Filed By Filed For Document Details PDF
11/6/2014 Returned Certified Mail Richard & Amy Schmerman
10/24/2014 Decision A.C.C. (#74767)
10/17/2014 Return Receipt/Green Card Richard & Amy Schmerman
9/26/2014 Securities Recommended Opinion & Order from the Hearing Division Marc E. Stern, Administrative Law Judge - A.C.C. Arizona Corporation Commission
11/27/2013 Post Hearing, Opening, Initial Brief Phong (Paul) Huynh, Atty, Securities Division
10/22/2013 Transcript - Securities Arizona Reporting Service, Inc. - Court Reporters
10/22/2013 Transcript - Securities Arizona Reporting Service, Inc. - Court Reporters
10/22/2013 Transcript - Securities Arizona Reporting Service, Inc. - Court Reporters
10/22/2013 Exhibit Arizona Reporting Service, Inc. - Court Reporters
10/22/2013 Exhibit Arizona Reporting Service, Inc. - Court Reporters
9/24/2013 Procedural Order - Grants a Miscellaneous Motion/Request Marc E. Stern, Administrative Law Judge - A.C.C.
9/11/2013 Motion/Request - Miscellaneous Phong (Paul) Huynh, Atty, Securities Division
8/29/2013 Response/Reply to a Procedural Order Phong (Paul) Huynh, Atty, Securities Division
4/29/2013 Returned Certified Mail Richard & Amy Schmerman
3/28/2013 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
3/18/2013 Procedural Order - Sets a Hearing Marc E. Stern, Administrative Law Judge - A.C.C.
3/15/2013 Transcript Arizona Reporting Service, Inc. - Court Reporters
2/20/2013 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
2/19/2013 Return Receipt/Green Card Richard & Amy Schmerman
2/7/2013 Procedural Order - Sets a Status Conference Marc E. Stern, Administrative Law Judge - A.C.C.
2/6/2013 Procedural Order - Grants a Miscellaneous Motion/Request Dwight D. Nodes, Asst. Chief Administrative Law Judge - A.C.C.
12/12/2012 Motion/Request - Miscellaneous Phong (Paul) Huynh, Atty, Securities Division Securities Division
9/21/2012 Return Receipt/Green Card Richard Schmerman
9/14/2012 Return Receipt/Green Card Alan Baskin
9/7/2012 Motion/Request - Miscellaneous Alan Baskin Diversified Financial
9/7/2012 Procedural Order - To continue hearing Dwight D. Nodes, Asst. Chief Administrative Law Judge - A.C.C.
9/5/2012 Procedural Order - Denies a Miscellaneous Motion/Request Marc E. Stern, Administrative Law Judge - A.C.C.
9/4/2012 Notice of Filing - Miscellaneous Phong (Paul) Huynh Securities Division
8/31/2012 Response to Motion Phong Huynh
8/29/2012 Motion/Request - Miscellaneous Alan S. Baskin Respondents
8/29/2012 List of Witnesses and/or Exhibits Alan S. Baskin Respondents
8/17/2012 Motion/Request for an Extension of Time Paul Huynh
5/22/2012 Return Receipt/Green Card Alan Baskin
5/21/2012 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
5/14/2012 Procedural Order - To continue hearing Marc E. Stern, Administrative Law Judge - A.C.C.
5/11/2012 Stipulation Paul Huynh
3/26/2012 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
3/26/2012 Return Receipt/Green Card Alan Baskin
3/23/2012 Transcript Arizona Reporting Service, Inc. - Court Reporters
3/13/2012 Procedural Order - Sets a Hearing Marc E. Stern, Administrative Law Judge - A.C.C.
1/27/2012 Answer Alan S. Baskin, Atty. Richard M. Schmerman
1/3/2012 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
1/3/2012 Return Receipt/Green Card Alan Baskin
12/20/2011 Amendment to an Application Matthew Neubert, Director of Securities
12/14/2011 Procedural Order - Sets a Status Conference Marc E. Stern, Administrative Law Judge - A.C.C.
12/12/2011 Stipulation Phong (Paul) Huynh Securities Division
12/6/2011 Motion/Request to Amend a Proposed Order Phong (Paul) Huynh Securities Division
12/5/2011 Transcript Arizona Reporting Service, Inc. - Court Reporters
11/29/2011 Return Receipt/Green Card Alan Baskin
11/29/2011 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
11/21/2011 Procedural Order - Sets a Status Conference Marc E. Stern, Administrative Law Judge - A.C.C.
9/21/2011 Return Receipt/Green Card Alan Baskin
9/19/2011 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
9/7/2011 Stipulation Phong (Paul) Huynh Securities Division
9/7/2011 Procedural Order - Sets a Status Conference Marc E. Stern, Administrative Law Judge - A.C.C.
7/11/2011 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
7/11/2011 Return Receipt/Green Card Alan Baskin
7/5/2011 Procedural Order - Sets a Status Conference Marc E. Stern, Administrative Law Judge - A.C.C.
7/5/2011 Motion/Request - Miscellaneous Phong (Paul) Huynh Securities Division
5/2/2011 Return Receipt/Green Card Alan Baskin
5/2/2011 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
4/25/2011 Procedural Order - Sets a Status Conference Marc E. Stern, Administrative Law Judge - A.C.C.
4/22/2011 Motion/Request for an Extension of Time Phong (Paul) Huynh Securities Division
3/7/2011 Return Receipt/Green Card Alan Baskin
3/7/2011 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
2/23/2011 Procedural Order - Sets a Status Conference Marc E. Stern, Administrative Law Judge - A.C.C.
2/22/2011 Stipulation Phong (Paul) Huynh Securities Division
1/3/2011 Transcript Arizona Reporting Service, Inc. - Court Reporters
12/28/2010 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
12/28/2010 Return Receipt/Green Card Alan Baskin
12/16/2010 Procedural Order - Sets a Status Conference Marc E. Stern, Administrative Law Judge - A.C.C.
11/4/2010 Transcript Arizona Reporting Service, Inc. - Court Reporters
11/3/2010 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
11/3/2010 Return Receipt/Green Card Alan Baskin
10/22/2010 Procedural Order - Sets a Pre-Hearing Marc E. Stern, Administrative Law Judge - A.C.C.
10/14/2010 Notice of Appearance Alan S. Baskin
10/14/2010 Answer Alan S. Baskin
9/28/2010 Return Receipt/Green Card Sara Ziskin
9/27/2010 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
9/22/2010 Procedural Order - Sets a Pre-Hearing Marc E. Stern, Administrative Law Judge - A.C.C.
9/22/2010 Affidavit/Certification - Service Peggy Scozzari
9/20/2010 Request for a Hearing Tina Metzger Sara Ziskin
9/9/2010 Application - Securities Matthew Neubert, Director of Securities
Decision # Decision Date Description PDF
74767 10/24/2014 Decision
 
Location Type Date Time Completed Details Download Outlook Calendar
H.R. #2 Pre-hearing Conference 10/21/2010 2:00 PM 10/22/2010
H.R. #1 Pre-hearing Conference 12/16/2010 9:30 AM 12/16/2010
H.R. #2 Status Conference 11/17/2011 10:00 AM 11/17/2011
H.R. #1 Status Conference 3/12/2012 10:00 AM 3/13/2012
N/A Due - Witness List 8/20/2012 4:00 PM
N/A Due - Exhibits 8/20/2012 4:00 PM 8/20/2012
H.R. #1 Status Conference 3/6/2013 2:00 PM 3/6/2013
H.R. #2 Hearing 10/2/2013 9:30 AM 10/3/2013
H.R. #2 Hearing 10/3/2013 9:30 AM 10/3/2013
H.R. #2 Hearing 10/4/2013 9:30 AM 10/4/2013
N/A Due - Witness List 8/16/2013 4:00 PM
H.R. #2 Hearing 9/30/2013 10:00 AM 9/30/2013
H.R. #2 Hearing 10/1/2013 9:30 AM 10/2/2013
H.R. #1 Open Meeting 10/16/2014 10:00 AM 10/17/2014
N/A Due - Rehearing Application 11/13/2014 8:00 AM 11/13/2014
Case Staff
Name Area Assigned
Marc Stern Hearing 9/16/2010
Paul Huynh Securities 9/13/2010
Peggy Scozzari Securities 9/13/2010
Gregory Thomsen Securities 8/20/2012
Mark Preny Hearing 6/12/2014
Marc Stern Hearing 9/16/2010
 
Company Contact Address Date Added Email Email Opt-in
COASH & COASH COURT REPORTING, VIDEO AND VIDEOCONFERENCING
1802 North 7th Street
Phoenix, AZ 85006
9/26/2014
Richard & Amy Schmerman 2613 E. Mitchell Dr.
Phoenix, AZ 85016
9/5/2012
Matthew Neubert 1200 W. Washington
Phoenix, AZ 85007-0000
9/9/2010

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