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S-21013A-17-0153

Walter Jerome Clarke and Wealth Index Advisors, LLC


Securities

Securities - General

Compliance Due

5/24/2017

Notice of Opportunity for Hearing regarding Proposed Order of Denial

17-0153

 
Filing Date
Description Filed By Filed For Document Details PDF
8/13/2018 Return Receipt/Green Card Paul Roshka, Atty.
8/8/2018 Decision A.C.C. (#76789)
7/16/2018 Open Meeting Agenda Executive Director's Office
7/13/2018 Open Meeting Agenda Executive Director's Office
7/5/2018 Proposed Consent Order from the Securities Division Matthew J. Neubert, Director of Securities, A.C.C
6/8/2018 Securities Division Notice of Filing - Miscellaneous Christopher Nichols, Atty - Securities Division, A.C.C.
5/30/2018 Response to Motion/Reply to Response to Motion Craig M. Waugh, Atty. Walter Jerome Clarke and Wealth Index Advisors, LLC
5/24/2018 Transcript - Securities Coash & Coash
5/24/2018 Return Receipt/Green Card Paul J. Roshka, Jr., Atty.
5/22/2018 Securities Division Response Christopher Nichols, Atty - Securities Division, A.C.C.
5/21/2018 Return Receipt/Green Card Paul J. Roshka, Jr., Atty. and Craig M. Waugh, Atty.
5/18/2018 Securities Division Response to Motion/Reply to Response to Motion Christopher Nichols, Atty - Securities Division, A.C.C.
5/16/2018 Procedural Order - To continue hearing Marc E. Stern, Administrative Law Judge - Hearing Division, A.C.C.
5/15/2018 Response to Motion/Reply to Response to Motion Craig M. Waugh, Atty. Walter Jerome Clarke and Wealth Index Advisors, LLC
5/11/2018 Procedural Order - Sets a Procedural Schedule/Conference Marc E. Stern, Administrative Law Judge - Hearing Division, A.C.C.
5/4/2018 Motion/Request to Dismiss Paul J. Roshka, Jr., Atty. Walter Jerome Clarke and Wealth Index Advisors, LLC
5/4/2018 Motion/Request - Miscellaneous Paul J. Roshka, Jr., Atty. Walter Jerome Clarke and Wealth Index Advisors, LLC
5/3/2018 Securities Division Response to Motion/Reply to Response to Motion Christopher Nichols, Atty - Securities Division, A.C.C.
5/3/2018 Securities Division Motion/Request - Miscellaneous Christopher Nichols, Atty - Securities Division, A.C.C.
4/20/2018 Motion/Request - Miscellaneous Craig M. Waugh, Atty. Walter Jerome Clarke and Wealth Index Advisors, LLC
1/3/2018 Procedural Order - Sets a Hearing Marc E. Stern, Administrative Law Judge - A.C.C. Hearing Division
12/20/2017 Transcript - Securities Coash & Coash
11/16/2017 Procedural Order - Sets a Procedural Schedule/Conference Marc E. Stern, Administrative Law Judge - Hearing Division, A.C.C.
11/3/2017 Return Receipt/Green Card Craig M. Waugh
11/3/2017 Return Receipt/Green Card Paul Roshka
10/30/2017 Procedural Order - Sets Miscellaneous Filing Dates Marc E. Stern, Administrative Law Judge - Hearing Division, A.C.C.
10/26/2017 Motion/Request for an Extension of Time Craig M. Waugh and Christopher Nichols, Atty. Walter Jerome Clark and Wealth Index Advisors, LLC
9/22/2017 Procedural Order - Sets Miscellaneous Filing Dates Teena Jibilian, Administrative Law Judge Hearing Division
8/28/2017 Return Receipt/Green Card Paul Roshka
8/24/2017 Procedural Order - Miscellaneous Marc E. Stern, Administrative Law Judge - Hearing Division, A.C.C.
8/22/2017 Securities Division Response to Motion/Reply to Response to Motion Christopher Nichols, Atty. Securities Division
8/17/2017 Motion/Request - Miscellaneous Paul J. Roshka, Jr. Walter Jerome Clarke and Wealth Index Advisors, LLC
8/7/2017 Return Receipt/Green Card Paul Roshka
8/2/2017 Procedural Order - Miscellaneous Marc E. Stern, Administrative Law Judge - Hearing Division, A.C.C.
7/18/2017 Response to Motion/Reply to Response to Motion Paul J. Roshka, Jr. Walter Jerome Clarke and Wealth Index Advisors, LLC
7/17/2017 Return Receipt/Green Card Paul Roshka
7/13/2017 Transcript - Securities Coash & Coash
7/13/2017 Securities Division Response to Motion/Reply to Response to Motion Christopher Nichols, Atty. Securities Division
7/12/2017 Procedural Order Approving Consent to Email Service Marc E. Stern, Administrative Law Judge - Hearing Division, A.C.C.
7/6/2017 Motion/Request - Miscellaneous Paul J. Roshka, Jr. Walter J. Clarke and Wealth Index Advisors, LLC
7/5/2017 Consent to Email Service Craig M. Waugh Walter Jerome Clark and Wealth Index Advisors, LLC
6/27/2017 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service Jerry Lowe - Securities Division (Wealth Index Advisors, LLC)
6/23/2017 Securities Paul J. Roshka, Jr. Walter Jerome Clarke and Wealth Indez Advisors, LLC
6/12/2017 Return Receipt/Green Card Paul Roshka
6/8/2017 Procedural Order Regarding Consent to Email Service Marc E. Stern, Administrative Law Judge - Hearing Division, A.C.C.
6/8/2017 Procedural Order - Sets a Pre-Hearing Marc E. Stern, Administrative Law Judge - Hearing Division, A.C.C.
6/2/2017 Request for Hearing Paul J. Roshka Walter Jerome Clarke and Wealth Index Advisors, LLC
5/24/2017 Application - Securities Matthew Neubert, Director of Securities Division
Decision # Decision Date Description PDF
76789 8/8/2018 Decision
 
Location Type Date Time Completed Details Download Outlook Calendar
See Notes Due - Response 9/14/2017 4:00 PM
H.R. #1 Pre-hearing Conference 6/29/2017 10:00 AM
N/A Status Conference 9/20/2017 9:00 AM
N/A Due - Settlement Agreement 11/2/2017 4:00 PM
N/A Procedural Conference 12/12/2017 10:00 AM
N/A Hearing 5/21/2018 10:00 AM
N/A Hearing 5/22/2018 10:00 AM
N/A Hearing 5/23/2018 10:00 AM
N/A Hearing 5/24/2018 10:00 AM
N/A Hearing 5/30/2018 10:00 AM
N/A Due - Exhibits 4/6/2018 4:00 PM
N/A Pre-hearing Conference 5/16/2018 10:00 AM
N/A Open Meeting 7/19/2018 2:00 PM
Case Staff
Name Area Assigned
Marc Stern Hearing 5/30/2017
Jerry Lowe Securities 5/25/2017
Christopher Nichols Securities 5/25/2017
Marc Stern Hearing 5/30/2017
 
Company Contact Address Date Added Email Email Opt-in
Matthew Neubert 1200 W. Washington
Phoenix, AZ 85007-0000
5/24/2017 SecDivServicebyEmail@azcc.gov
Paul Roshka POLISINELLI, PC
CityScape, One East Washington Street
Suite 1200
Phoenix, AZ 85004
6/8/2017 cwaugh@polsinelli.com
ArizonaDocketing@polsinelli.com
proshka@polsinelli.com
jgoodwin@polsinelli.com
dcoppens@polsinelli.com

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