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Docket Details




S-20906A-14-0063

Concordia Financing Company, Ltd, aka Concordia Finance


Securities

Securities - General

Open Meeting Pending

2/27/2014

Notice of opportunity for hearing regarding proposed order to cease and desist, order for restitution, order for administrative penalties, and order for other affirmative action

14-0063

 
Filing Date
Description Filed By Filed For Document Details PDF
1/14/2019 Return Receipt/Green Card Adam Lang, Atty.
1/3/2019 Exceptions to/Comments on/Responses to Proposed Order/Recommended Order/Recommended Opinion and Order Alan S. Baskin, Atty. Concordia Finance
1/2/2019 Hearing Division Memorandum Mark Preny, Administrative Law Judge Hearing Division
12/21/2018 Return Receipt/Green Card Alan Baskin, Atty.
12/12/2018 Procedural Order - Grants a Miscellaneous Motion/Request Mark Preny, Administrative Law Judge - Hearing Division, A.C.C. Hearing Division
12/7/2018 Motion/Request for an Extension of Time Alan S. Baskin, Atty. Concordia Finance
11/30/2018 Recommended Opinion & Order from the Hearing Division Mark Preny, Administrative Law Judge Hearing Division
11/6/2018 Return Receipt/Green Card Adam Lang, Atty.
11/5/2018 Return Receipt/Green Card Alan Baskin, Atty.
10/30/2018 Procedural Order - Grants a Miscellaneous Motion/Request Marc E. Stern, Administrative Law Judge Hearing Division
10/26/2018 Securities Division Motion/Request for Joinder of Party James D. Burgess, Atty. and Adam E. Lang, Atty. Securities Division and Respondents Lance Michael Bersch, Linda Wanzek, and ER Financial & Advisory Services, L.L.C.
10/25/2018 Substitution of Counsel Adam E. Lang, Atty. Respondents ER Financial & Advisory Service, LLC, Lance Michael Bersch, and Linda Wanzek
8/1/2018 Notice of Filing - Miscellaneous Timothy J. Sabo, Atty. Lance Michael Bersch, David John Wanzek, Linda Wanzek and ER Financial & Advisory Services
1/12/2018 Notice of Filing - Miscellaneous David E. Wood, Atty. Concordia Finance
8/15/2017 Securities Division Brief James D. Burgess, Atty. - Securities Division
7/31/2017 Return Receipt/Green Card Alan Baskin
7/31/2017 Return Receipt/Green Card Timothy J. Sabo, Atty.
7/27/2017 Procedural Order - Grants an Extension of Time Mark Preny, Administrative Law Judge - Hearing Division, A.C.C.
7/26/2017 Securities Division Stipulation James D. Burgess, Timothy J. Sabo, and Alan S. Baskin Securities Divison, Lance Michael Bersch, David John Wanzek, Linda Wanzek, ER Financial & Advisory Services, LLC and Concordia Financing Company, Ltd.
6/19/2017 Brief Alan S. Baskin and David E. Wood Concordia Finance
6/16/2017 Return Receipt/Green Card Timothy J. Sabo, Atty.
6/16/2017 Brief Alan S. Baskin and David E. Wood Concordia Finance
6/16/2017 Brief Timothy J. Sabo, Atty. lance Michael Bersch, David John Wanzek, Linda Wanzek and ER Financial & Advisory Services
6/14/2017 Return Receipt/Green Card Alan Baskin
6/12/2017 Procedural Order - Grants an Extension of Time Mark Preny, Administrative Law Judge - Hearing Division, A.C.C.
6/9/2017 Stipulation Timothy J. Sabo, Alan S. Baskin, and James D. Burgess Respondents Lance Michael Bersch, David John Wanzek, Linda Wanzek, ER Financial & Advisory Services, Respondent concordia Finance, and Securities Division
5/16/2017 Procedural Order - Grants an Extension of Time Mark Preny, Administrative Law Judge - Hearing Division, A.C.C.
5/12/2017 Motion/Request for an Extension of Time Alan S. Baskin Concordia Finance
4/13/2017 Securities Division Brief James D. Burgess, Atty. - Securities Division
1/18/2017 Exhibit Coash & Coash (Part 4)
1/17/2017 Exhibit Coash & Coash (Part 1)
1/17/2017 Exhibit Coash & Coash (Part 2)
1/13/2017 Transcript - Securities Coash & Coash (Volume XIII)
1/13/2017 Transcript - Securities Coash & Coash (Volume XIII)
1/13/2017 Transcript - Securities Coash & Coash (Voluemt XIV)
1/13/2017 Exhibit Coash & Coash (Part 3)
1/13/2017 Exhibit Coash & Coash (Part 5)
1/13/2017 Exhibit Coash & Coash (Part 6)
1/13/2017 Exhibit Coash & Coash (Part 7)
1/13/2017 Exhibit Coash & Coash (Part 8)
1/13/2017 Exhibit Coash & Coash (Part)
1/13/2017 Exhibit Coash & Coash (Part 10)
1/13/2017 Exhibit Coash & Coash (Part 11)
1/13/2017 Exhibit Coash & Coash (Part 12)
1/3/2017 Transcript - Securities Coash & Coash (Volume IX)
1/3/2017 Transcript - Securities Coash & Coash (Volume X)
1/3/2017 Transcript - Securities Coash & Coash (Volume XI)
12/29/2016 Transcript Coash & Coash (Volume VII)
12/29/2016 Transcript Coash & Coash (Volume V)
12/29/2016 Transcript Coash & Coash (Volume VI)
12/29/2016 Transcript Coash & Coash (Volume VIII)
12/22/2016 Transcript - Securities Coash & Coash (Volume I)
12/22/2016 Transcript - Securities Coash & Coash (Volume II)
12/22/2016 Transcript - Securities Coash & Coash (Volume III)
12/22/2016 Transcript - Securities Coash & Coash (Volumet IV)
12/9/2016 Return Receipt/Green Card Timothy J. Sabo, Atty.
12/9/2016 Securities Division Notice of Filing - Miscellaneous James D. Burgess, Atty. - Securities Division
12/9/2016 Securities Division Stipulation James D. Burgess, Atty. - Securities Division and Timothy J. Sabo and Alan S. Baskin Concordia Financing Company, LTD., et al.
12/8/2016 Return Receipt/Green Card Alan Baskin
12/7/2016 Transcript - Securities Coash & Coash
12/5/2016 Return Receipt/Green Card Timothy J. Sabo, Atty.
12/5/2016 Return Receipt/Green Card Alan Baskin
12/2/2016 Return Receipt/Green Card Alan Baskin
12/2/2016 Stipulation Alan Baskin Concordia Financing Company, Ltd.
11/28/2016 Return Receipt/Green Card Timothy J. Sabo, Atty.
11/28/2016 Procedural Order - Denies a Miscellaneous Motion/Request Mark Preny, Administrative Law Judge - Hearing Division, A.C.C.
11/23/2016 Return Receipt/Green Card Timothy J. Sabo, Atty.
11/23/2016 Return Receipt/Green Card Coash & Coash
11/23/2016 Return Receipt/Green Card Coash & Coash
11/23/2016 Response to Motion/Reply to Response to Motion Alan S. Baskin Concordia Finance
11/22/2016 Correspondence from Executive Director Jodi Jerich, Executive Director
11/21/2016 Return Receipt/Green Card Alan Baskin
11/18/2016 Response Alan S. Baskin Concordia Finance
11/18/2016 Procedural Order - Miscellaneous Mark Preny, Administrative Law Judge - Hearing Division, A.C.C.
11/16/2016 Procedural Order - Sets a Procedural Schedule/Conference Mark Preny, Administrative Law Judge - Hearing Division, A.C.C.
11/16/2016 Securities Division Notice of Filing - Miscellaneous James D. Burgess, Atty. - Securities Division Securities Division
11/14/2016 Securities Division Response to Motion/Reply to Response to Motion James D. Burgess, Atty. - Securities Division
11/7/2016 Return Receipt/Green Card Alan Baskin
11/7/2016 Return Receipt/Green Card Timothy J. Sabo, Atty.
11/3/2016 Procedural Order - Grants a Miscellaneous Motion/Request Mark Preny, Administrative Law Judge - Hearing Division, A.C.C.
10/31/2016 Motion/Request to Withdraw as Counsel Paul J. Roshka Jr ER Financial & Advisory Services, LLC, Lance Michael Bersch, David John Wanzek and Linda Wanzek
10/31/2016 Motion/Request to Dismiss Alan S.Baskin Concordia Finance
9/30/2016 Procedural Order - Grants an Extension of Time Mark Preny, Administrative Law Judge - Hearing Division, A.C.C.
9/30/2016 Procedural Order Approving Consent to Email Service Mark Preny, Administrative Law Judge - Hearing Division, A.C.C.
9/28/2016 Return Receipt/Green Card Alan Baskin
9/28/2016 Consent to Email Service Timothy J. Sabo, Atty. ER Financial Respondents
9/27/2016 Return Receipt/Green Card Timothy J. Sabo, Atty.
9/27/2016 Return Receipt/Green Card Paul Roshka
9/26/2016 Stipulation Alan S. Baskin Concordia Finance
9/22/2016 Procedural Order - Denies a Miscellaneous Motion/Request Mark Preny, Administrative Law Judge - Hearing Division, A.C.C.
9/21/2016 Procedural Order Regarding Consent to Email Service Mark Preny, Administrative Law Judge - Hearing Division, A.C.C.
9/20/2016 Securities Division Consent to Email Service James D. Burgess, Atty. - Securities Division
9/20/2016 Securities Division Response to Motion/Reply to Response to Motion James D. Burgess, Atty. - Securities Division
9/12/2016 Procedural Order - Denies a Miscellaneous Motion/Request Mark Preny, Administrative Law Judge - Hearing Division, A.C.C.
9/7/2016 Motion/Request to Continue a Hearing Timothy J. Sabo, Atty. and Paul J. Roshka, Jr. ER Financial & Advisory Services, LLC, Lance Michael Bersch, David John Wanzek and Linda Wanzek
8/12/2016 Response to Motion/Reply to Response to Motion Timothy J. Sabo, Atty. and Paul J. Roshka, Jr., Atty. ER Financial & Advisory Services, LLC, Lance Michael Bersch, David John Wanzek, and Linda Wanzek
8/12/2016 Response to Motion/Reply to Response to Motion Timothy J. Sabo, Atty. and Paul J. Roshka, Jr., Atty. ER Financial & Advisory Services, LLC, Lance Michael Bersch, David John Wanzek, and Linda Wanzek
8/1/2016 Securities Division Response to Motion/Reply to Response to Motion James D. Burgess Securities
8/1/2016 Securities Division Response to Motion/Reply to Response to Motion James D. Burgess Securities
7/11/2016 Return Receipt/Green Card Coash & Coash
7/8/2016 Transcript Coash & Coash
7/7/2016 Return Receipt/Green Card Timothy Sabo
7/6/2016 Return Receipt/Green Card Alan Baskin
7/5/2016 Return Receipt/Green Card Paul Roshka
6/30/2016 Procedural Order - Sets a Hearing Mark Preny, Administrative Law Judge - Hearing Division, A.C.C. A.C.C.
6/20/2016 Return Receipt/Green Card Timothy J. Sabo, Atty.
6/20/2016 Return Receipt/Green Card Paul Roshka
6/17/2016 Return Receipt/Green Card Coash & Coash
6/17/2016 Return Receipt/Green Card Alan Baskin
6/13/2016 Procedural Order - Sets a Status Conference Mark Preny, Administrative Law Judge - Hearing Division, A.C.C. A.C.C.
6/3/2016 Notice of Filing - Miscellaneous Paul Kitchin A.C.C.
6/3/2016 Request for a Hearing Paul Kitchin, Atty A.C.C.
4/29/2016 Notice of Filing - Miscellaneous James D. Burgess, Timothy J. Sabo, and Alan S. Baskin A.C.C., Lance Michael Bersch, David John Wanzek, Linda Wanzek, ER Financial & Advisory Services, L.L.C and Concordia Financing Company, Ltd
2/1/2016 Notice of Filing - Miscellaneous James D. Burgess A.C.C.
11/2/2015 Notice of Filing - Miscellaneous James D. Burgess and Timothy Sabo A.C.C, ER Financial & Advisory Services, LLC
8/5/2015 Return Receipt/Green Card Paul Roshka
8/5/2015 Return Receipt/Green Card Alan Baskin
8/5/2015 Return Receipt/Green Card Coash & Coash
8/5/2015 Return Receipt/Green Card Timothy Sabo
8/3/2015 Return Receipt/Green Card Paul Roshka
7/31/2015 Return Receipt/Green Card Coash & Coash
7/31/2015 Return Receipt/Green Card Alan Baskin
7/31/2015 Return Receipt/Green Card Timothy J. Sabo, Atty.
7/30/2015 Transcript - Securities Coash & Coash
7/29/2015 Procedural Order - Vacates a Hearing Mark Preny, Administrative Law Judge - Hearing Division, A.C.C. Arizona Corporation Commission
7/28/2015 Response to Motion James Burgess Arizona Corporation Commission
7/28/2015 Notice of Filing - Miscellaneous Timothy J. Sabo, Atty. ER Financial and Advisory Services, LLC
7/27/2015 Procedural Order - Grants a Miscellaneous Motion/Request Mark Preny, Administrative Law Judge - Hearing Division, A.C.C. Arizona Corporation Commission
7/27/2015 Motion/Request - Miscellaneous Timothy J. Sabo, Atty. ER Respondents
7/27/2015 Motion/Request - Miscellaneous Timothy J. Sabo, Atty. ER Respondents
7/27/2015 Objection / Opposition Timothy J. Sabo, Atty. ER Respondents
7/27/2015 Objection / Opposition Timothy J. Sabo, Atty. Collectively, the ER Respondents
7/24/2015 Return Receipt/Green Card Paul Roshka
7/24/2015 Response to Motion James D. Burgess, Atty. Securities Division Arizona Corporation Commission
7/23/2015 Return Receipt/Green Card Timothy J. Sabo, Atty.
7/22/2015 Return Receipt/Green Card Coash & Coash
7/22/2015 Return Receipt/Green Card Alan Baskin
7/21/2015 List of Witnesses and/or Exhibits (Securities) Alan S. Baskin Concordia Financing Company, LTD
7/21/2015 Response to Motion Alan S. Baskin Respondent Concordia Financing Company
7/20/2015 Response to Motion Timothy J. Sabo, Atty., Paul J Roshka Jr Atty, Craig Waugh Atty ER Respondents
7/20/2015 Motion/Request - Miscellaneous Timothy J. Sabo, Atty., Paul J Roshka Jr Atty Craig Waugh Atty ER Respondents
7/17/2015 Answer David E. Wood Concordia Finance
7/16/2015 Return Receipt/Green Card Paul Roshka
7/16/2015 Procedural Order - Grants a Miscellaneous Motion/Request Mark Preny, Administrative Law Judge - Hearing Division, A.C.C. Arizona Corporation Commission
7/15/2015 Motion/Request - Miscellaneous James D Burgess, Atty Securities Division
7/15/2015 Return Receipt/Green Card Timothy J. Sabo, Atty.
7/15/2015 Motion/Request - Miscellaneous Alan S. Baskin Concordia Finance
7/15/2015 List of Witnesses and/or Exhibits (Securities) Timothy J. Sabo, Atty. ER Finanacial & Advisory Serv. Lance M Bersch, David and Linda Wanzek
7/13/2015 Return Receipt/Green Card Alan Baskin
7/7/2015 Procedural Order - Denies a Miscellaneous Motion/Request Mark Preny, Administrative Law Judge - Hearing Division, A.C.C. Arizona Corporation Commission
7/6/2015 Stipulation David E. Wood
7/2/2015 Motion/Request - Miscellaneous James D. Burgess Arizona Corporation Commission
6/30/2015 Response to Motion Timothy J. Sabo, Atty. ER Respondents
6/22/2015 Response to Motion James D. Burgess Arizona Corporation Commission
6/16/2015 Notice of Filing - Miscellaneous Timothy J. Sabo, Atty. Concordia Financing Company
6/8/2015 Answer David E. Wood Respondent Concordia Finance
6/8/2015 Motion/Request to Dismiss Timothy J. Sabo, Atty. ER Respondents
5/21/2015 Request for a Hearing Alan S. Baskin Respondent Concordia Finance
5/19/2015 Request for a Hearing Timothy J. Sabo, Atty. ER Financial
5/19/2015 Request for a Hearing Timothy J. Sabo, Atty. ER Financial
5/19/2015 Request for a Hearing Timothy J. Sabo, Atty. ER Financial
5/19/2015 Request for a Hearing Timothy J. Sabo, Atty. ER Financial
5/18/2015 Return Receipt/Green Card Paul Roshka CityScape
5/18/2015 Transcript - Securities Coash & Coash
5/15/2015 Return Receipt/Green Card Alan Baskin
5/15/2015 Return Receipt/Green Card Timothy J. Sabo, Atty.
5/15/2015 Return Receipt/Green Card Coash & Coash
5/8/2015 Affidavit/Certification - Service Gary Clapper Arizona Corporation Commission
5/8/2015 Affidavit/Certification - Service Gary Clapper Arizona Corporation Commission
5/8/2015 Affidavit/Certification - Service Gary Clapper Arizona Corporation Commission
5/8/2015 Affidavit/Certification - Service Gary Clapper Arizona Corporation Commission
5/8/2015 Affidavit/Certification - Service Gary Clapper Arizona Corporation Commission
5/8/2015 Transcript - Securities Coash & Coash
5/7/2015 Return Receipt/Green Card Paul Roshka CityScape
5/7/2015 Securities Division - Notice of Opportunity Matthew Neubert, Director of Securities Arizona Corporation Commission
5/7/2015 Procedural Order - Sets a Hearing Mark Preny, Administrative Law Judge - Hearing Division, A.C.C. Arizona Corporation Commission
5/6/2015 Return Receipt/Green Card Alan Baskin
5/6/2015 Motion/Request - Miscellaneous James D. Burgess Arizona Corporation Commission
5/5/2015 Return Receipt/Green Card Timothy J. Sabo, Atty.
5/5/2015 Return Receipt/Green Card Coash & Coash
5/5/2015 Response to Motion David E. Wood Concordia Fiance
5/4/2015 Notice of Filing - Miscellaneous James D. Burgess Arizona Corporation Commission
5/4/2015 Response to Motion Timothy J. Sabo & Paul J. Roshka, Jr. ER Respondents
5/4/2015 Response to Motion Timothy J. Sabo & Paul J. Roshka, Jr. ER Respondents
4/29/2015 Return Receipt/Green Card Coash & Coash
4/29/2015 Return Receipt/Green Card Alan Baskin
4/29/2015 Notice of Filing James D. Burgess Arizona Corporation Commission
4/28/2015 Return Receipt/Green Card Timothy J. Sabo, Atty.
4/28/2015 Return Receipt/Green Card Paul Roshka
4/28/2015 Procedural Order - Vacates a Hearing Mark Preny, Administrative Law Judge - Hearing Division, A.C.C. Arizona Corporation Commission
4/24/2015 Motion/Request - Miscellaneous James D. Burgess Arizona Corporation Commission Securities Division
4/24/2015 Response to Motion James D. Burgess Arizona Corporation Commission Securities Division
4/24/2015 Response to Motion Alan S. Baskin Concordia Finance
4/22/2015 Procedural Order - Miscellaneous Mark Preny, Administrative Law Judge - Hearing Division, A.C.C. Arizona Corporation Commission
4/17/2015 Motion/Request to Continue a Hearing Timothy J. Sabo, Atty. ER Financial & Advisory Services
4/16/2015 Transcript - Securities Coash & Coash
4/3/2015 Procedural Order - Grants a Miscellaneous Motion/Request Mark Preny, Administrative Law Judge - Hearing Division, A.C.C. Arizona Corporation Commission
4/1/2015 Response to Motion James D. Burgess Arizona Corporation Commission
3/27/2015 Response to Motion Timothy J. Sabo, Atty. ER Financial
3/27/2015 Objection / Opposition Timothy J. Sabo, Atty. ER Financial
3/26/2015 Return Receipt/Green Card Paul Roshka
3/26/2015 Return Receipt/Green Card Alan Baskin
3/25/2015 Return Receipt/Green Card Timothy Sabo
3/24/2015 Transcript - Securities Coash & Coash
3/20/2015 Motion/Request for the Issuance of a Procedural Order James D. Burgess Arizona Corporation Commission
3/18/2015 Return Receipt/Green Card Paul Roshka
3/18/2015 Procedural Order - Miscellaneous Mark Preny, Administrative Law Judge - Hearing Division, A.C.C.
3/16/2015 Return Receipt/Green Card Alan Baskin
3/16/2015 Return Receipt/Green Card Timothy J. Sabo, Atty.
3/16/2015 Return Receipt/Green Card Coash & Coash
3/13/2015 List of Witnesses and/or Exhibits (Securities) Timothy J. Sabo & Paul J. Roshka, Jr. ER Respondents
3/12/2015 Response to Motion Timothy J. Sabo & Paul J. Roshka, Jr. ER Respondents
3/12/2015 List of Witnesses and/or Exhibits (Securities) Alan S. Baskin Concordia Finance
3/11/2015 Motion/Request for an Extension of Time David E. Wood Respondent Concordia Finance
3/9/2015 Procedural Order - Sets a Procedural Schedule/Conference Mark Preny, Administrative Law Judge - Hearing Division, A.C.C. Arizona Corporation Commission
3/6/2015 Affidavit/Certification - Service Timothy J. Sabo & Paul J. Roshka, Jr. ER Respondents
2/26/2015 Returned Certified Mail Alan Baskin
2/26/2015 Returned Certified Mail Alan Baskin
2/25/2015 Return Receipt/Green Card Timothy Sabo
2/25/2015 Transcript - Securities Coash & Coash
2/24/2015 Return Receipt/Green Card Paul Roshka
2/24/2015 Return Receipt/Green Card Coash & Coash
2/24/2015 Return Receipt/Green Card Alan Baskin
2/17/2015 Motion/Request - Miscellaneous Timothy J. Sabo & Paul J. Roshka, Jr. ER Respondents
2/17/2015 Motion/Request - Miscellaneous Timothy J. Sabo & Paul J. Roshka, Jr. ER Respondents
2/13/2015 Procedural Order - Miscellaneous Mark Preny, Administrative Law Judge - Hearing Division, A.C.C. Arizona Corporation Commission
2/10/2015 Service List Change Paul J. Roshka, Jr. Respondents
2/10/2015 Motion/Request - Miscellaneous Timothy J. Sabo, Atty. ER Respondents
2/5/2015 Miscellaneous - Notice of Errata James D. Burgess Arizona Corporation Commission
2/3/2015 Response to Motion James D. Burgess Arizona Corporation Commission
2/2/2015 Return Receipt/Green Card Coash & Coash
2/2/2015 Return Receipt/Green Card Coash & Coash
2/2/2015 Return Receipt/Green Card Timothy Sabo
2/2/2015 Return Receipt/Green Card Paul Roshka
1/27/2015 Procedural Order - Sets a Pre-Hearing Mark Preny, Administrative Law Judge - Hearing Division, A.C.C. Arizona Corporation Commission
1/27/2015 Notice of Filing - Miscellaneous James D. Burgess Arizona Corporation Commission
1/26/2015 Procedural Order - Grants a Miscellaneous Motion/Request Mark Preny, Administrative Law Judge - Hearing Division, A.C.C. Arizona Corporation Commission
1/26/2015 Response to Motion Paul J. Roshka, Jr. Respondents
1/5/2015 Staff's Miscellaneous Memos James D. Burgess Arizona Corporation Commission
9/15/2014 Return Receipt/Green Card Alan Baskin
9/10/2014 Return Receipt/Green Card Paul Roshka
9/9/2014 Return Receipt/Green Card Coash & Coash
9/9/2014 Transcript - Securities Coash & Coash
9/2/2014 Procedural Order - Sets a Hearing Mark Preny, Administrative Law Judge - Hearing Division, A.C.C. Arizona Corporation Commission
8/18/2014 Return Receipt/Green Card Coash & Coash
8/18/2014 Return Receipt/Green Card Alan Baskin
8/18/2014 Return Receipt/Green Card Paul Roshka
8/13/2014 Procedural Order - Sets a Pre-Hearing Mark Preny, Administrative Law Judge - Hearing Division, A.C.C. Arizona Corporation Commission
6/10/2014 Address/Phone Number Change Alan S. Baskin & David E. Wood Concordia Finance
6/3/2014 Transcript - Securities Coash & Coash
5/29/2014 Notice of Filing - Miscellaneous David Wood & Paul J. Roshka, Jr. Concordia Finance & Respondents ER, Lance Bersch, David and Linda Wanzek
5/22/2014 Notice of Filing - Miscellaneous James D. Burgess Arizona Corporation Commission
5/16/2014 Response to Motion Timothy J. Sabo, Atty. Respondents
5/9/2014 Response to Motion James D. Burgess Arizona Corporation Commission
5/5/2014 Notice of Filing - Miscellaneous Timothy J. Sabo, Atty. Respondents
4/25/2014 Motion/Request to Dismiss Alan S. Baskin & David E. Wood Concordia Finance
4/21/2014 Return Receipt/Green Card Timothy J. Sabo, Atty.
4/21/2014 Return Receipt/Green Card Coash & Coash
4/21/2014 Return Receipt/Green Card Alan Baskin
4/17/2014 Affidavit/Certification - Service Gary Clapper (Rosie Serna) Securities Department, A.C.C
4/15/2014 Procedural Order - Regarding Oral Arguments Mark Preny, Administrative Law Judge - Hearing Division, A.C.C. Arizona Corporation Commission
4/15/2014 Transcript - Securities Coash & Coash
4/9/2014 Answer Alan S. Baskin Concordia Finance
4/4/2014 Answer Timothy J. Sabo, Atty. Respondents
4/1/2014 Return Receipt/Green Card Alan Baskin
4/1/2014 Return Receipt/Green Card Coash & Coash
4/1/2014 Return Receipt/Green Card Paul Roshka
3/27/2014 Procedural Order - Sets a Pre-Hearing Mark Preny, Administrative Law Judge - Hearing Division, A.C.C.
3/26/2014 Request for a Hearing Alan S. Baskin Concordia Finance
3/24/2014 Return Receipt/Green Card Coash & Coash
3/24/2014 Return Receipt/Green Card Paul Roshka
3/17/2014 Affidavit/Certification - Service Gary Clapper (Linda Wanzek) Securities Division
3/17/2014 Procedural Order - Sets a Pre-Hearing Marc Preny, Administrative Law Judge - A.C.C.
3/14/2014 Request for a Hearing Timothy J. Sabo, Atty. Linda Wanzek
3/6/2014 Request for a Hearing Timothy J. Sabo, Atty. David John Wanzek
3/6/2014 Request for a Hearing Timothy J. Sabo, Atty. ER Financial & Advisory Services, LLC
3/6/2014 Request for a Hearing Timothy J. Sabo, Atty. Lance Michael Bersch
3/6/2014 Affidavit/Certification - Service Gary Clapper (Lance Michael Bersch for ER Financial & Advisory Services, LLC) Securities Division
3/6/2014 Affidavit/Certification - Service Gary Clapper (Lance Michael Bersch) Securities Division
3/6/2014 Affidavit/Certification - Service Gary Clapper (David John Wanzek for ER Financial & Advisory Services, LLC) Securities Division
3/6/2014 Affidavit/Certification - Service Gary Clapper (David John Wanzek) Securities Division
2/27/2014 Application - Securities - Notice of Opportunity Matthew Neubert, Director of Securities

No decisions found associated with this docket.

 
Location Type Date Time Completed Details Download Outlook Calendar
H.R. #2 Pre-hearing Conference 4/10/2014 11:00 AM 4/10/2014
H.R. #2 Oral Argument 5/21/2014 10:00 AM 5/21/2014
See Notes Due - Response 4/25/2014 4:00 PM
See Notes Due - Response 5/9/2014 4:00 PM
See Notes Due - Response 5/16/2014 4:00 PM
H.R. #1 Pre-hearing Conference 9/2/2014 10:00 AM 9/2/2014
N/A Due - Witness List 3/12/2015 4:00 PM
H.R. #1 Open Meeting 5/13/2015 10:00 AM 5/14/2015
H.R. #1 Oral Argument 2/11/2015 10:00 AM 2/11/2015
N/A Due - Staff Response/Update 2/3/2015 4:00 PM
N/A Due - Response 2/26/2015 4:00 PM
See Notes Tele Procedural Conf. 3/16/2015 10:00 AM 3/16/2015
H.R. #1 Oral Argument 4/2/2015 10:00 AM 4/2/2015
See Notes Due - Response 3/20/2015 4:00 PM
See Notes Due - Response 3/27/2015 4:00 PM
See Notes Due - Response 4/1/2015 4:00 PM
See Notes Status Conference 4/28/2015 10:00 AM 4/28/2015
N/A Due - Response 4/27/2015 12:00 PM
See Notes Status Conference 5/7/2015 10:00 AM 5/7/2015
N/A Due - Response 5/4/2015 4:00 PM
N/A Due - Response 5/5/2015 4:00 PM
N/A Due - Response 5/6/2015 4:00 PM
N/A Due - Witness List 7/15/2015 4:00 PM
H.R. #2 Status Conference 7/23/2015 10:00 AM 7/23/2015
See Notes Due - Response 7/17/2015 4:00 PM
See Notes Due - Response 7/20/2015 7:00 AM
See Notes Due - Response 7/23/2015 4:00 PM
See Notes Due - Response 7/28/2015 4:00 PM
N/A Due - Status Report 11/2/2015 7:00 AM 11/2/2015
H.R. #1 Status Conference 6/29/2016 10:00 AM 12/29/2016
H.R. #1 Hearing 11/30/2016 10:00 AM 12/29/2016
H.R. #2 Hearing 12/1/2016 9:00 AM 12/29/2016
H.R. #2 Hearing 12/2/2016 9:00 AM 12/29/2016
H.R. #2 Hearing 12/5/2016 9:00 AM 12/29/2016
H.R. #2 Hearing 12/6/2016 9:00 AM 12/29/2016
H.R. #2 Hearing 12/7/2016 9:00 AM 12/29/2016
H.R. #2 Hearing 12/8/2016 9:00 AM 12/29/2016
H.R. #2 Hearing 12/9/2016 9:00 AM 12/29/2016
H.R. #2 Hearing 12/15/2016 9:00 AM 12/29/2016
H.R. #2 Hearing 12/21/2016 9:00 AM 12/29/2016
H.R. #2 Hearing 12/22/2016 9:00 AM 12/29/2016
H.R. #2 Hearing 12/23/2016 9:00 AM 12/29/2016
H.R. #2 Hearing 12/12/2016 9:00 AM 12/29/2016
N/A Due - Witness List 10/28/2016 4:00 PM
N/A Due - Response 8/1/2016 4:00 PM
N/A Tele Procedural Conf. 11/18/2016 10:00 AM 12/29/2016
H.R. #2 Hearing 12/13/2016 9:00 AM 12/29/2016
H.R. #2 Hearing 12/28/2016 10:00 AM 12/29/2016
See Notes Due - Response 11/23/2016 4:00 PM
See Notes Due - Briefs (Misc.) 6/16/2017 4:00 PM
N/A Due - Briefs (Misc.) 8/15/2017 4:00 PM
N/A Open Meeting 12/17/2018 10:00 AM
N/A Open Meeting 12/18/2018 10:00 AM
N/A Due - Exceptions 1/3/2019 4:00 PM
Case Staff
Name Area Assigned
Clapper Securities 2/28/2014
Stephen Womack Securities 2/28/2014
James Burgess Securities 5/6/2014
Mark Preny Hearing 3/4/2014
Paul Kitchin Securities 6/3/2016
James Burgess Securities 5/6/2014
 
Company Contact Address Date Added Email Email Opt-in
Alan Baskin BASKIN RICHARDS PLC
2901 North Central Avenue, Suite 1150
Phoenix, AZ 85012
6/10/2014
Mark Dinell Interim Director - Securities Division
1300 W. Washington
Phoenix, AZ 85007-0000
2/27/2014 jburgess@azcc.gov
wcoy@azcc.gov
SecDivServicebyEmail@azcc.gov
kh@azcc.gov
Adam Lang SNELL & WILMER, LLP
One Arizona Center
400 E. Van Buren St. #1900
Phoenix, AZ 85004
10/25/2018 docket@swlaw.com
cpaulsen@swlaw.com
alang@swlaw.com
jhoward@swla.com

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