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S-20977A-16-0242

John Anthony Waszolek (CRD No. 8000403) and Kathleen Waszole


Securities

Securities - General

Compliance Due

7/8/2016

Notice of Opportunity for Hearing Regarding Proposed Order for Restitution, Order for Administrative Penalties, Order of Revocation, and Order for Other of Affirmative Action

16-0242

 
Filing Date
Description Filed By Filed For Document Details PDF
11/15/2017 Return Receipt/Green Card Alan Baskin
11/7/2017 Decision - Order to Cease & Desist A.C.C. (#76442)
10/23/2017 Correspondence from Commissioner/s Bob Burns, Commissioner
10/19/2017 Return Receipt/Green Card Alan Baskin
10/17/2017 Open Meeting Agenda Ted Vogt, Executive Director
10/17/2017 Notice of Filing - Miscellaneous Alan S. Baskin John Anthony Waszolek and Kathleen Waszolek
10/6/2017 Procedural Order - Vacates a Hearing Mark Preny, Administrative Law Judge - Hearing Division, A.C.C.
10/6/2017 Proposed Consent Order from the Securities Division Matthew Neubert, Director of Securities Division
10/3/2017 Securities Division Motion/Request to Continue a Hearing James D. Burgess, Atty. - Securities Division
9/5/2017 Return Receipt/Green Card Alan Baskin
8/30/2017 Procedural Order Approving Consent to Email Service Mark Preny, Administrative Law Judge - Hearing Division, A.C.C.
8/28/2017 Consent to Email Service Alan S. Baskin John Anthony Waszolek and Kathleen Waszolek
8/10/2017 Transcript - Securities Coash & Coash
8/7/2017 Return Receipt/Green Card Alan Baskin
8/1/2017 Procedural Order - Sets a Hearing Mark Preny, Administrative Law Judge - Hearing Division, A.C.C.
7/26/2017 Response to Motion/Reply to Response to Motion James D. Burgess, Atty. - Securities Division
7/20/2017 Return Receipt/Green Card Alan Baskin
7/18/2017 Procedural Order - Sets a Procedural Schedule/Conference Mark Preny, Administrative Law Judge - Hearing Division, A.C.C.
7/10/2017 Response to Motion/Reply to Response to Motion Alan S. Baskin John Anthony Waszolek and Kathleen Waszolek
6/26/2017 Securities Division Motion/Request - Miscellaneous James D. Burgess, Atty. - Securities Division
5/24/2017 Notice of Filing - Miscellaneous James D. Burgess, Atty. and Alas S. Baskin Securities Division and Respondents
2/27/2017 Notice of Filing - Miscellaneous James D. Burgess and Alan S. Baskin Securities Division and John Anthony Waszolek and Kathleen Waszolek
11/14/2016 Return Receipt/Green Card Alan Baskin
11/14/2016 Return Receipt/Green Card Coash & Coash
11/8/2016 Procedural Order - Vacates a Hearing Mark Preny, Administrative Law Judge - Hearing Division, A.C.C.
11/4/2016 Securities Division Stipulation James D. Burgess and Alan S. Baskin Securities Division and John Anthony Waszolek and Kathleen Waszolek
8/23/2016 Transcript Coash & Coash
8/22/2016 Return Receipt/Green Card Alan Baskin
8/17/2016 Return Receipt/Green Card Coash & Coash
8/11/2016 Securities Alan S. Baskin John Anthony Waszolek and Kathleen Waszolek
8/10/2016 Procedural Order - Sets a Hearing Mark Preny, Administrative Law Judge - Hearing Division, A.C.C.
8/1/2016 Return Receipt/Green Card Coash & Coash
8/1/2016 Return Receipt/Green Card Alan Baskin
7/25/2016 Procedural Order - Sets a Pre-Hearing Mark Preny, Administrative Law Judge - Hearing Division, A.C.C. A.C.C.
7/22/2016 Request for a Hearing Alan S. Baskin Respondents John Anthony Waszolek and Kathleen Waszolek
7/12/2016 Affidavit/Certification - Service Michael D. Brokaw A.C.C.
7/12/2016 Affidavit/Certification - Service Michael D. Brokaw A.C.C.
7/8/2016 Application - Securities - Notice of Opportunity Matthew Neubert, Director of Securities
Decision # Decision Date Description PDF
76442 11/7/2017 Decision - Order to Cease & Desist
 
Location Type Date Time Completed Details Download Outlook Calendar
H.R. #2 Pre-hearing Conference 8/10/2016 10:30 AM 12/29/2016
See Notes Due - Status Report 3/1/2017 4:00 PM
H.R. #1 Open Meeting 10/23/2017 2:30 PM
See Notes Tele Procedural Conf. 7/31/2017 10:00 AM
N/A Due - Rehearing Application 11/28/2017 4:00 PM 11/28/2017
Case Staff
Name Area Assigned
Michael Brokaw Securities 7/11/2016
James Burgess Securities 7/11/2016
Mark Preny Hearing 7/11/2016
James Burgess Securities 7/11/2016
 
Company Contact Address Date Added Email Email Opt-in
Matthew Neubert 1200 W. Washington
Phoenix, AZ 85007-0000
7/8/2016 SecDivServicebyEmail@azcc.gov
COASH & COASH COURT REPORTING, VIDEO AND VIDEOCONFERENCING
1802 North 7th Street
Phoenix, AZ 85006
7/25/2016
Alan Baskin BASKIN RICHARDS PLC
2901 North Central Avenue, Suite 1150
Phoenix, AZ 85012
7/25/2016 alan@baskinrichards.com
kbredlow@baskinrichards.com
cmcdonald@baskinrichards.com

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