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S-21049A-18-0223

Performance Arbitrage Company, Inc., Michelle Plant, Financial Product Distributors, LLC, Michael David Woodward and Jane Doe Woodward, Mark Corbett and Jane Doe Corbett, Upstate Law Group, LLC, and Candy Kern-Fuller


Securities

Securities - General

Open

6/29/2018

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.

18-0223

 
Filing Date
Description Filed By Filed For Document Details PDF
12/26/2018 Procedural Order Approving Consent to Email Service Mark Preny, Administrative Law Judge Hearing Division
10/10/2018 Returned Certified Mail Mark Corbett
9/17/2018 Consent to Email Service Robert B. Zelms, Atty. Upstate Law Group, LLC and Candy Kern-Fuller
9/17/2018 Securities Robert B. Zelms, Atty. Upstate Law Group, LLC and Candy Kern-Fuller
9/11/2018 Transcript - Securities Coash & Coash
9/10/2018 Returned Certified Mail Mark Corbett
8/30/2018 Return Receipt/Green Card Robert Zelms
8/28/2018 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service Shannon Nelson (Performance Arbitrage Company Inc.) Securities Division
8/28/2018 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service Shannon Nelson (Michelle Plant) Securities Division
8/28/2018 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service Shannon Nelson (Mark Corbett) Securities Division
8/28/2018 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service Shannon Nelson (Upstate Law Group, LLC) Securities Division
8/28/2018 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service Shannon Nelson (Candy Kern-Fuller) Securities Division
8/27/2018 Procedural Order - Sets a Hearing Mark Preny, Administrative Law Judge Hearing Division
8/17/2018 Return Receipt/Green Card Robert Zelms
8/14/2018 Procedural Order - Grants a Miscellaneous Motion/Request Mark Preny, Administrative Law Judge Hearing Division
8/10/2018 Motion/Request for an Extension of Time Robert B. Zelms, Atty. Upstate Law Group, LLC and Candy Kern-Fuller
8/6/2018 Return Receipt/Green Card Robert B. Zelms, Atty.
7/31/2018 Procedural Order Regarding Consent to Email Service Mark Preny, Administrative Law Judge - Hearing Division, A.C.C.
7/31/2018 Procedural Order - Sets a Pre-Hearing Mark Preny, Administrative Law Judge - Hearing Division, A.C.C.
7/23/2018 Securities Mark Corbett
7/19/2018 Request for Hearing Robert B. Zelms, Atty. Upstate Law Group, LLC and Candy Kern-Fuller
6/29/2018 Application - Securities Mathew J. Neubert, Director of Securities

No decisions found associated with this docket.

 
Location Type Date Time Completed Details Download Outlook Calendar
N/A Securities Prehearing Conference 8/27/2018 10:00 AM
N/A Due - Response 9/17/2018 4:00 PM
N/A Hearing 4/15/2019 10:00 AM
N/A Hearing 4/16/2019 9:00 AM
N/A Hearing 4/17/2019 9:00 AM
N/A Hearing 4/18/2019 9:00 AM
N/A Hearing 4/19/2019 9:00 AM
N/A Hearing 4/22/2019 9:00 AM
N/A Hearing 4/23/2019 9:00 AM
N/A Hearing 4/24/2019 9:00 AM
N/A Hearing 4/25/2019 9:00 AM
N/A Hearing 4/26/2019 9:00 AM
N/A Due - Witness List 2/14/2019 4:00 PM
Case Staff
Name Area Assigned
James Burgess Securities 6/29/2018
Shannon Nelson Securities 6/29/2018
Mark Preny Hearing 7/2/2018
 
Company Contact Address Date Added Email Email Opt-in
Matthew Neubert Director, Securities Division
ARIZONA CORPORATION COMMISSION
1300 W. Washington St.
Phoenix, AZ 85007-2927
6/29/2018 SecDivServicebyEmail@azcc.gov
Robert Zelms MANNING & KASS ELLROD, RAMIREZ, TRESTER LLP
3636 North Central Avenue, 11th Floor
Phoenix, AZ 85012
7/31/2018 rbz@manningllp.com
dld@manningllp.com
Mark Corbett 28 Vivido St
Ladera Ranch, CA 92694
7/31/2018

There were no linked dockets found