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S-20956A-16-0090

David J. Escarcega


Securities

Securities - General

Compliance Due

3/14/2016

Notice of opportunity for hearing regarding proposed Order to Cease and Desist, Order for Restitution, Order for Administrative Penalties, Order of Revocation, Order of Denial, and Order for Other Affirmative Action.

16-0090

 
Filing Date
Description Filed By Filed For Document Details PDF
12/8/2016 Return Receipt/Green Card Paul Roshka
12/5/2016 Decision - Order to Cease & Desist A.C.C. (75820)
11/16/2016 Return Receipt/Green Card Paul Roshka
11/10/2016 Open Meeting Agenda Jodi Jerich, Executive Director
11/9/2016 Return Receipt/Green Card Paul Roshka
11/9/2016 Return Receipt/Green Card Coash & Coash
11/3/2016 Procedural Order - Vacates a Hearing Mark Preny, Administrative Law Judge - Hearing Division, A.C.C.
11/3/2016 Securities Division Memorandum & Proposed Order Matthew Neubert, Director of Securities Division
11/2/2016 Securities Division Motion/Request to Continue a Hearing Paul Kitchin, Atty and Paul J. Roshka, Jr. Securities Division and David J. Escarcega
9/26/2016 List of Witnesses and/or Exhibits Paul J. Roshka, Jr. Respondent David J. Escarcega
9/23/2016 Stipulation Paul J. Roshka, Jr. and Paul Kitchin, Atty.- Securities Division Respondent David J. Escarcega and the A.C.C Securities Division
8/15/2016 Return Receipt/Green Card Paul Roshka
8/8/2016 Procedural Order Approving Consent to Email Service Mark Preny, Administrative Law Judge - Hearing Division, A.C.C.
8/5/2016 Securities Division Consent to Email Service Paul Kitchin, Atty- Securities Division
5/3/2016 Transcript - Securities Coash & Coash
4/22/2016 Return Receipt/Green Card Paul Roshka
4/20/2016 Return Receipt/Green Card Coash & Coash
4/14/2016 Procedural Order - Sets a Hearing Mark Preny, Administrative Law Judge - Hearing Division, A.C.C. A.C.C.
4/13/2016 Answer Paul J. Roshka, Jr. Respondent David J. Escarcega
4/8/2016 Return Receipt/Green Card Paul Roshka
4/6/2016 Return Receipt/Green Card Coash & Coash
3/29/2016 Procedural Order - Sets a Pre-Hearing Mark Preny, Administrative Law Judge - Hearing Division, A.C.C. A.C.C.
3/24/2016 Affidavit/Certification - Service Jerry Lowe - Securities Division A.C.C.
3/24/2016 Request for a Hearing Paul J. Roshka Respondent David J. Escarcega
3/14/2016 Application - Securities Matthew Neubert, Director of Securities
Decision # Decision Date Description PDF
75820 12/5/2016 Decision - Order to Cease & Desist
 
Location Type Date Time Completed Details Download Outlook Calendar
H.R. #2 Pre-hearing Conference 4/14/2016 10:00 AM 5/6/2016
N/A Due - Exhibits 9/23/2016 4:00 PM 12/29/2016
N/A Due - Witness List 9/23/2016 4:00 PM
H.R. #1 Open Meeting 11/17/2016 10:00 AM 12/29/2016
N/A Due - Rehearing Application 12/27/2016 4:00 PM 12/27/2016
Case Staff
Name Area Assigned
Lowe Securities 3/14/2016
Mark Preny Hearing 3/17/2016
Paul Kitchin Securities 3/14/2016
 
Company Contact Address Date Added Email Email Opt-in
Matthew Neubert 1200 W. Washington
Phoenix, AZ 85007-0000
3/14/2016 wcoy@azcc.gov
SecDivServicebyEmail@azcc.gov
pkitchin@azcc.gov
kh@azcc.gov
Paul Roshka POLISINELLI, PC
CityScape, One East Washington Street
Suite 1200
Phoenix, AZ 85004
3/29/2016

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