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S-20988A-16-0354

WMF Management, LLC; Woodbridge Group of Companies, LLC; et


Securities

Securities - General

Compliance Due

10/4/2016

Temporary Order to Cease and Desist and Notice of Opportunity for Hearing

16-0354

 
Filing Date
Description Filed By Filed For Document Details PDF
12/31/2018 Return Receipt/Green Card Adam Schwartz
12/13/2018 Return Receipt/Green Card Dennis Doss
12/10/2018 Return Receipt/Green Card Dennis Doss
12/10/2018 Return Receipt/Green Card Adam Schwartz
12/3/2018 Return Receipt/Green Card Michael Rubin
12/3/2018 Return Receipt/Green Card Michael Rubin
12/3/2018 Return Receipt/Green Card John Munger
12/3/2018 Return Receipt/Green Card John Munger
11/27/2018 Decision - Order to Cease & Desist A.C.C. (#76962)
11/27/2018 Decision - Order to Cease & Desist A.C.C. (#76961)
11/5/2018 Open Meeting Agenda Matthew J. Neubert, Interim Executive Director
11/1/2018 Open Meeting Agenda Matthew J. Neubert, Interim Executive Director
10/23/2018 Return Receipt/Green Card Dennis Doss
10/23/2018 Proposed Consent Order from the Securities Division Mark Dinell, Acting Director Securities Division
10/23/2018 Proposed Consent Order from the Securities Division Mark Dinell, Acting Director Securities Division
9/24/2018 Return Receipt/Green Card Adam Schwartz
9/19/2018 Return Receipt/Green Card John Munger
9/12/2018 Procedural Order - Vacates a Hearing Mark Preny, Administrative Law Judge Hearing Division
9/11/2018 Securities Division Motion/Request - Miscellaneous Paul Kitchin, Atty., Adam Schwartz, Atty. and Dennis H. Doss, Atty. Securities Division, Woodbridge Respondents and Robert H. Shapiro
7/9/2018 Return Receipt/Green Card Dennis H. Doss
6/11/2018 Return Receipt/Green Card Adam Schwartz
6/7/2018 Return Receipt/Green Card Paul J. Roshka, Jr., Atty.
6/7/2018 Return Receipt/Green Card John F. Munger
6/6/2018 Return Receipt/Green Card Michael S. Rubin
5/31/2018 Procedural Order - Reschedules a Hearing Mark Preny, Administrative Law Judge - Hearing Division, A.C.C.
5/30/2018 Securities Division Motion/Request - Miscellaneous Paul Kitchin, Atty.- Securities Division, Adam Schwartz, Atty. and Dennis H. Doss, Atty. Securities Division, Woodbridge Respondents and Robert H. Shapiro
5/4/2018 Return Receipt/Green Card Robert H. Shapiro
5/1/2018 Return Receipt/Green Card Bradley D. Sharp
4/30/2018 Return Receipt/Green Card Paul J. Roshka, Jr.
4/26/2018 Return Receipt/Green Card Michael S. Rubin
4/20/2018 Procedural Order - Miscellaneous Mark Preny, Administrative Law Judge - Hearing Division, A.C.C.
4/19/2018 Securities Division Motion/Request - Miscellaneous Paul Kitchin, Atty.- Securities Division and Bradley D. Sharp Securities Division and the Woodbridge Entities
3/26/2018 Returned Certified Mail Bradley Sharp
3/20/2018 Return Receipt/Green Card Robert Shapiro
3/19/2018 Returned Certified Mail John Munger
3/19/2018 Returned Certified Mail Michael Rubin
3/19/2018 Returned Certified Mail Matthew P. Fischer
3/12/2018 Procedural Order - Miscellaneous Mark Preny, Administrative Law Judge - Hearing Division, A.C.C.
3/12/2018 Return Receipt/Green Card Matthew Fischer
3/12/2018 Return Receipt/Green Card Michael Rubin
3/9/2018 Securities Division Response Paul Kitchin, Atty.- Securities Division
3/9/2018 Return Receipt/Green Card Craig M. Waugh
3/7/2018 Motion/Request to Withdraw as Counsel Timothy J. Sabo, Atty. and Bradley D. Sharp Woodbridge Respondents
3/6/2018 Procedural Order - Miscellaneous Mark Preny, Administrative Law Judge - Hearing Division, A.C.C.
2/26/2018 Transcript - Securities Coash & Coash
2/20/2018 Return Receipt/Green Card Matthew P. Fisher, Atty. and Timothy J. Sabo, Atty.
2/15/2018 Securities Division Response to Motion/Reply to Response to Motion Paul Kitchin, Atty.- Securities Division
2/13/2018 Return Receipt/Green Card Michael S. Rubin, Atty.
2/12/2018 Securities Division Motion/Request - Miscellaneous Paul Kitchin, Attorney for the Securities Division
2/9/2018 Return Receipt/Green Card John F. Munger
2/6/2018 Return Receipt/Green Card John Munger
2/5/2018 Procedural Order - To continue hearing Mark Preny, Administrative Law Judge - Hearing Division, A.C.C.
2/5/2018 Return Receipt/Green Card Michael Rubin
2/5/2018 Return Receipt/Green Card Paul J. Roshka, Jr. and Craig M. Waugh
2/5/2018 Return Receipt/Green Card Paul J. Roshka, Jr.
2/2/2018 Notice of Filing - Miscellaneous Timothy J. Sabo, Atty. Woodbridge Respondents
2/2/2018 Motion/Request - Miscellaneous Timothy J. Sabo, Atty. Woodbridge Respondents
2/2/2018 Securities Division Response to Motion/Reply to Response to Motion Paul Kitchin, Atty.- Securities Division
2/2/2018 Return Receipt/Green Card Matthew Fischer
2/2/2018 Return Receipt/Green Card John Munger
2/1/2018 Return Receipt/Green Card Matthew Fischer & Timothy J. Sabo
2/1/2018 Return Receipt/Green Card Michael Rubin
1/30/2018 Procedural Order - Regarding Oral Arguments Mark Preny, Administrative Law Judge - Hearing Division, A.C.C.
1/29/2018 Motion/Request to Continue a Hearing Timothy J. Sabo, Atty. Woodbridge Respondents
1/26/2018 Procedural Order - Denies a Miscellaneous Motion/Request Mark Preny, Administrative Law Judge - Hearing Division, A.C.C.
1/17/2018 Transcript - Securities Coash & Coash
1/3/2018 Securities Division Response to Motion/Reply to Response to Motion Paul Kitchin, Atty.- Securities Division
1/3/2018 Return Receipt/Green Card Matthew P. Fischer
1/3/2018 Response to Motion/Reply to Response to Motion Timothy Sabo, Atty. Woodbridge Respondents
1/2/2018 Return Receipt/Green Card Michael S. Rubin
12/28/2017 Notice of Filing - Miscellaneous United States Bankruptcy Court Woodbridge Group of Companies, LLC, et al.
12/28/2017 Response to Motion/Reply to Response to Motion Timothy J. Sabo, Atty. Woodbridge Respondents
12/28/2017 Securities Division Response to Motion/Reply to Response to Motion Paul Kitchin, Attorney for the Securities Division
12/22/2017 Procedural Order - Regarding Oral Arguments Mark Preny, Administrative Law Judge - Hearing Division, A.C.C.
12/21/2017 Securities Division Motion/Request - Miscellaneous Paul Kitchin, Atty.- Securities Division
12/20/2017 Motion/Request - Miscellaneous Timothy J. Sabo, Atty. Woodbridge Respondents
12/20/2017 Response Timothy J. Sabo, Atty. Woodbridge Respondents
12/11/2017 Securities Division Response Paul Kitchin, Atty.- Securities Division
12/11/2017 Securities Division Response Paul Kitchin, Atty.- Securities Division
12/5/2017 Notice of Filing - Miscellaneous Allison S. Mielke WMF Management, LLC, et al.
12/4/2017 Motion/Request - Miscellaneous Timothy Sabo, Atty Woodbridge Respondents
11/15/2017 Return Receipt/Green Card Matthew Fischer
11/14/2017 Return Receipt/Green Card John Munger
11/14/2017 Return Receipt/Green Card Michael Rubin
11/8/2017 Procedural Order - Sets a Procedural Schedule/Conference Mark Preny, Administrative Law Judge - Hearing Division, A.C.C.
10/24/2017 Return Receipt/Green Card John Munger
10/16/2017 Return Receipt/Green Card Michael Rubin
10/16/2017 Return Receipt/Green Card Matthew Fischer
10/12/2017 Transcript - Securities Coash & Coash
10/10/2017 Procedural Order - Sets a Procedural Schedule/Conference Mark Preny, Administrative Law Judge - Hearing Division, A.C.C.
9/25/2017 Securities Timothy J. Sabo, Atty. Woodbridge Respondents
9/20/2017 Return Receipt/Green Card John Munger
9/18/2017 Return Receipt/Green Card Matthew Fischer
9/18/2017 Return Receipt/Green Card Michael Rubin
9/14/2017 Procedural Order - Regarding Oral Arguments Mark Preny, Administrative Law Judge - Hearing Division, A.C.C.
9/13/2017 Response to Motion/Reply to Response to Motion Timothy J. Sabo, Atty. Woodbridge Respondents
9/7/2017 Request for Hearing Timothy J. Sabo, Atty. Woodbridge Respondents
8/31/2017 Securities Division Response to Motion/Reply to Response to Motion Paul Kitchin, Atty - Securities Division
8/29/2017 Notice of Filing - Miscellaneous Timothy J. Sabo, Atty. WMF Management, LLC et al.
8/29/2017 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service Jerry Lowe (WMF Management, LLC, et. al.) Securities Division
8/28/2017 Return Receipt/Green Card Michael Rubin
8/28/2017 Return Receipt/Green Card John Munger
8/22/2017 Return Receipt/Green Card Matthew Fischer
8/21/2017 Amendment to an Application Matthew Neubert, Director of Securities Division
8/17/2017 Procedural Order - Grants a Miscellaneous Motion/Request Mark Preny, Administrative Law Judge - Hearing Division, A.C.C.
8/17/2017 Motion/Request - Miscellaneous Timothy J. Sabo, Atty. Woodbridge Respondents
8/15/2017 Securities Division Stipulation Paul Kitchin and Timothy J. Sabo Securities Division and Woodbridge Respondents
7/31/2017 Transcript - Securities Coash & Coash
7/26/2017 Return Receipt/Green Card Michael Rubin
7/25/2017 Return Receipt/Green Card John Munger
7/25/2017 Return Receipt/Green Card Matthew Fischer
7/19/2017 Procedural Order - Reschedules a Hearing Mark Preny, Administrative Law Judge - Hearing Division, A.C.C.
7/18/2017 Return Receipt/Green Card Michael Rubin
7/17/2017 Return Receipt/Green Card Matthew Fischer
7/17/2017 Return Receipt/Green Card John Munger
7/17/2017 Return Receipt/Green Card Michael Rubin
7/17/2017 Response to Motion/Reply to Response to Motion Matthew P. Fischer and Timothy J. Sabo Woodbridge Respondents
7/17/2017 Response to Motion/Reply to Response to Motion Matthew P. Fischer and Timothy J. Sabo Woodbridge Respondents
7/13/2017 Decision - Order to Cease & Desist A.C.C. (76198)
7/11/2017 Procedural Order - Sets a Procedural Schedule/Conference Mark Preny, Administrative Law Judge - Hearing Division, A.C.C.
7/10/2017 Open Meeting Agenda Ted Vogt, Executive Director
7/5/2017 Open Meeting Agenda Ted Vogt, Executive Director
6/30/2017 Securities Division Motion/Request - Miscellaneous Paul Kitchin, Atty - Securities Division
6/30/2017 Securities Division Motion/Request to Continue a Hearing Paul Kitchin, Atty - Securities Division
6/26/2017 Proposed Consent Order from the Securities Division Matthew Neubert, Director of Securities Division
6/20/2017 Response Paul J. Roshka, Jr. John Does 1-5
6/7/2017 Response Matthew P. Fischer Woodbridge Respondents
3/3/2017 Return Receipt/Green Card John Munger
2/24/2017 Decision - Order to Cease & Desist A.C.C. (75994)
2/8/2017 Return Receipt/Green Card John Munger
2/6/2017 Return Receipt/Green Card Matthew Fisher
2/6/2017 Return Receipt/Green Card Michael Rubin
2/2/2017 Open Meeting Agenda Ted Vogt, Executive Director
1/27/2017 Transcript - Securities Coash & Coash
1/24/2017 Proposed Consent Order from the Securities Division Matthew Neubert, Director of Securities Division
1/23/2017 Return Receipt/Green Card Coash & Coash
1/23/2017 Return Receipt/Green Card John Munger
1/23/2017 Return Receipt/Green Card Michael Rubin
1/23/2017 Return Receipt/Green Card Matthew Fischer
1/17/2017 Return Receipt/Green Card John Munger
1/17/2017 Return Receipt/Green Card John Munger
1/17/2017 Return Receipt/Green Card Michael Rubin
1/17/2017 Procedural Order - Sets a Hearing Mark Preny, Administrative Law Judge - Hearing Division, A.C.C.
1/17/2017 Securities Timothy J. Sabo, Atty. Woodbridge Respondents
1/13/2017 Return Receipt/Green Card Matthew Fischer
1/13/2017 Return Receipt/Green Card Matthew Fisher
1/13/2017 Return Receipt/Green Card Michael Rubin
1/13/2017 Securities Michael S. Rubin AIO Financial, LLC, William M. Holliday and Guadalupe A. Holliday
1/11/2017 Procedural Order - Grants an Extension of Time Mark Preny, Administrative Law Judge - Hearing Division, A.C.C.
1/10/2017 Securities Division Stipulation John F. Munger and Paul Kitchin Carfagno and Securities Division
1/9/2017 Procedural Order - Grants an Extension of Time Mark Preny, Administrative Law Judge - Hearing Division, A.C.C.
1/6/2017 Securities Division Stipulation Michael S. Rubin and Paul Kitchin AIO FInancial,LLC; William M. Holliday and Guadalupe A/ Holliday and Securities Division
1/6/2017 Notice of Filing - Miscellaneous AIO Financial, LLC; William M. Holliday and Guadalupe A. Holliday
1/5/2017 Stipulation Matthew P. Fisher and Paul Kitchin Woodbridge Respondents and Securities Division
12/29/2016 Motion/Request - Miscellaneous John F. Munger Robert W. Carfagno and Debra L. Carfagno
12/7/2016 Transcript - Securities Coash & Coash
12/2/2016 Procedural Order Approving Consent to Email Service Mark Preny, Administrative Law Judge - Hearing Division, A.C.C.
12/2/2016 Return Receipt/Green Card John Munger
12/1/2016 Return Receipt/Green Card Michael Rubin
11/30/2016 Return Receipt/Green Card Coash & Coash
11/29/2016 Consent to Email Service Michael S. Rubin AIO Financial, LLC, William M. Holliday and Guadalupe A. Holliday
11/28/2016 Procedural Order - Sets a Procedural Schedule/Conference Mark Preny, Administrative Law Judge - Hearing Division, A.C.C.
11/22/2016 Return Receipt/Green Card John Munger
11/22/2016 Return Receipt/Green Card Michael Rubin
11/21/2016 Return Receipt/Green Card Matthew Fischer
11/17/2016 Return Receipt/Green Card Michael Rubin
11/15/2016 Procedural Order Approving Consent to Email Service Mark Preny, Administrative Law Judge - Hearing Division, A.C.C.
11/15/2016 Procedural Order - Grants an Extension of Time Mark Preny, Administrative Law Judge - Hearing Division, A.C.C.
11/14/2016 Return Receipt/Green Card Matthew Fischer
11/14/2016 Return Receipt/Green Card John Munger
11/10/2016 Stipulation Michael S. Rubin and Paul Kitching AIO Financial, LLC, William M. Holliday and Guadalupe A. Holliday and Securities Division
11/10/2016 Consent to Email Service Matthew P. Fischer Woodbridge
11/9/2016 Return Receipt/Green Card John Munger
11/8/2016 Procedural Order - Grants an Extension of Time Mark Preny, Administrative Law Judge - Hearing Division, A.C.C.
11/7/2016 Return Receipt/Green Card Michael Rubin
11/7/2016 Return Receipt/Green Card Matthew Fischer
11/4/2016 Stipulation Matthew P. Fischer and Paul Kitchin, Esq. Woodbridge Respondents and Securities Division
11/1/2016 Procedural Order - Sets a Pre-Hearing Mark Preny, Administrative Law Judge - Hearing Division, A.C.C.
11/1/2016 Procedural Order Regarding Consent to Email Service Mark Preny, Administrative Law Judge - Hearing Division, A.C.C.
10/27/2016 Stipulation Patricia L. Daly WMF Management, LLC, et al
10/27/2016 Request for Hearing Matthew P. Fischer Woodbridge Respondents
10/27/2016 Request for Hearing Michael S. Rubin Respondents AIO Financial LLC, William M. Holliday and Guadalupe A. Holliday
10/25/2016 Affidavit/Certification of Mailing/Publication/Notice/Service Clyde J. Hanselman Securities Division
10/25/2016 Affidavit/Certification of Mailing/Publication/Notice/Service Clyde J. Hanselman Securities Division
10/25/2016 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service Clyde J. Hanselman Securities Division
10/25/2016 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service Clyde J. Hanselman Securities Division
10/4/2016 Application - Securities Matthew Neubert, Director of Securities Division
Decision # Decision Date Description PDF
75994 2/24/2017 Decision - Order to Cease & Desist
76198 7/13/2017 Decision - Order to Cease & Desist
76961 11/27/2018 Decision - Order to Cease & Desist
76962 11/27/2018 Decision - Order to Cease & Desist
 
Location Type Date Time Completed Details Download Outlook Calendar
H.R. #2 Pre-hearing Conference 11/28/2016 10:00 AM 12/29/2016
N/A Due - Response 2/28/2017 4:00 PM
H.R. #1 Status Conference 1/17/2017 10:00 AM
H.R. #1 Open Meeting 2/7/2017 10:00 AM
H.R. #1 Open Meeting 2/8/2017 10:00 AM
H.R. #1 Open Meeting 7/11/2017 10:00 AM
H.R. #1 Open Meeting 7/12/2017 10:00 AM
N/A Due - Response 1/13/2017 4:00 PM
N/A Due - Witness List 11/14/2017 4:00 PM
N/A Due - Exhibits 11/14/2017 4:00 PM
N/A Due - Rehearing Application 3/16/2017 4:00 PM 3/16/2017
See Notes Tele Procedural Conf. 7/18/2017 10:00 AM
N/A Due - Rehearing Application 8/2/2017 4:00 PM 8/2/2017
N/A Oral Argument 10/2/2017 10:00 AM
N/A Status Conference 11/1/2017 10:00 AM
See Notes Due - Response 10/25/2017 4:00 PM
N/A Status Conference 1/4/2018 10:00 AM
N/A Status Conference 1/4/2018 10:00 AM
N/A Due - Response 12/28/2017 4:00 PM
N/A Due - Staff Response/Update 1/3/2018 4:00 PM
N/A Due - Staff Response/Update 12/28/2017 4:00 PM
N/A Due - Response 1/3/2018 4:00 PM
N/A Oral Argument 2/5/2018 10:00 AM
N/A Due - Response 2/2/2018 4:00 PM
See Notes Due - Response 4/23/2018 4:00 PM
N/A Open Meeting 11/7/2018 10:00 AM
N/A Open Meeting 11/8/2018 10:00 AM
Case Staff
Name Area Assigned
Clyde Hanselman Securities 10/5/2016
Mark Preny Hearing 10/5/2016
Paul Kitchin Securities 10/5/2016
Paul Kitchin Securities 1/2/2018
Jerry Lowe Securities 1/2/2018
 
Company Contact Address Date Added Email Email Opt-in
Michael Rubin DICKINSON WRIGHT PLLC
1850 N. Central Ave., Suite 1400
Phoenix, AZ 85004
11/1/2016 MRubin@dickinson-wright.com
ANewman@dickinson-wright.com
John Munger MUNGER & CHADWICK, PLC
333 N. Wilmot, Suite 300
Tucson, AZ 85711
11/2/2016
Matthew Dinell 1200 W. Washington
Phoenix, AZ 85007-0000
10/4/2016 SecDivServicebyEmail@azcc.gov
Adam Schwartz HOMER BONNER JACOBS
1200 Four Seasons Tower, 1441 Brickell Avenue
Miami, FL 33131
5/31/2018
Dennis Doss DOSS LAW
29042 Bouquet Canyon Rd.
Silverado, CA 92676
5/31/2018

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