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Docket Details




S-20814A-11-0313

David Paul Smoot and Marie Kathleen Smoot


Securities

Securities - General

Compliance Due

8/11/2011

Application to Open Docket

11-0313

Document List Report
 
Filing Date
 Description Filed By Filed For Document Details PDF
6/19/2019 Return Receipt/Green Card Michael D. Kimerer, Atty.
6/13/2019 Decision - Order to Cease & Desist A.C.C. (#77255)
6/4/2019 Open Meeting Agenda Matthew J. Neubert, Executive Director
5/30/2019 Procedural Order - Vacates a Hearing Marc E. Stern, Administrative Law Judge Hearing Division
5/29/2019 Procedural Order - Regarding eFiling Marc E. Stern, Administrative Law Judge Hearing Division
5/28/2019 Proposed Consent Order from the Securities Division Mark Dinell, Director
5/28/2019 Securities Division Motion/Request to Continue a Hearing Ryan J. Millecam, Atty. Securities Division
5/8/2019 Procedural Order - Denies a Miscellaneous Motion/Request Marc E. Stern, Administrative Law Judge Hearing Division
5/6/2019 Motion/Request - Miscellaneous Timothy J. Galligan, Atty. David Paul Smoot, et al.
5/6/2019 Motion/Request to Withdraw as Counsel Timothy J. Galligan, Atty. David Paul Smoot, et al.
4/29/2019 Motion/Request for an Extension of Time Michael D. Kimerer, Atty. Respondents David P. Smoot, et al.
4/24/2019 Securities Division Response to Motion/Reply to Response to Motion Ryan J. Millecam, Atty. Securities Division
4/5/2019 Motion/Request to Dismiss Michael D. Kimerer, Atty. (Part 1) Respondents David P. Smoot, et al.
4/5/2019 Motion/Request to Dismiss Michael D. Kimerer, Atty. (Part 2) Respondents David P. Smoot, et al.
1/18/2019 Return Receipt/Green Card Timothy Galligan
1/17/2019 Return Receipt/Green Card Michael D. Kimerer, Atty.
1/10/2019 Procedural Order - Sets a Hearing Marc E. Stern, Administrative Law Judge Hearing Division
1/9/2019 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service Toni Brown (S. Thompson)
12/28/2018 Securities Division Motion/Request - Miscellaneous Ryan J. Millecam, Atty. Securities Division
11/15/2018 Transcript - Securities Coash & Coash
10/1/2018 Return Receipt/Green Card Michael D. Kimerer, Atty.
9/27/2018 Return Receipt/Green Card Timothy Galligan
9/21/2018 Procedural Order - Sets a Pre-Hearing Marc E. Stern, Administrative Law Judge Hearing Division
9/14/2018 Securities Timothy J. Galligan, Atty. and Michael D. Kimerer, Atty. David Paul Smoot, et al.
8/2/2018 Return Receipt/Green Card Timothy Galligan
8/1/2018 Return Receipt/Green Card Michael D. Kimerer, Atty.
7/27/2018 Procedural Order - Grants a Miscellaneous Motion/Request Marc E. Stern, Administrative Law Judge - Hearing Division, A.C.C.
7/23/2018 Return Receipt/Green Card Charles Berry
7/20/2018 Return Receipt/Green Card Brian Lake
7/20/2018 Return Receipt/Green Card Michael D. Kimerer, Atty.
7/19/2018 Securities Division Response to Motion/Reply to Response to Motion Ryan J. Millecam, Atty - Securities Division, A.C.C.
7/18/2018 Procedural Order - Grants a Miscellaneous Motion/Request Marc E. Stern, Administrative Law Judge - Hearing Division, A.C.C.
7/16/2018 Return Receipt/Green Card Brian Lake
7/16/2018 Return Receipt/Green Card Timothy Galligan
7/16/2018 Return Receipt/Green Card Michael D. Kimerer, Atty.
7/13/2018 Return Receipt/Green Card Charles Berry
7/12/2018 Notice of Filing - Miscellaneous Timothy J. Galligan David Paul Smoot, et al.
7/12/2018 Notice of Filing - Miscellaneous Timothy J. Galligan David Paul Smoot, et al.
7/12/2018 Notice of Filing - Miscellaneous Timothy J. Galligan David Paul Smoot, et al.
7/12/2018 Motion/Request - Miscellaneous Timothy J. Galligan David Paul Smoot, et al.
7/9/2018 Procedural Order - Grants a Miscellaneous Motion/Request Marc E. Stern, Administrative Law Judge - Hearing Division, A.C.C.
6/27/2018 Motion/Request - Miscellaneous Michael D. Kimerer, Atty. David Paul Smoot and Marie Kathleen Smoot
6/26/2018 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service Toni Brown (Timothy J. Galligan) Securities Division
6/26/2018 Motion/Request - Miscellaneous Timothy J. Galligan David Paul Smoot and Marie Kathleen Smoot
6/26/2018 Notice of Filing - Miscellaneous Timothy J. Galligan David Paul Smoot and Marie Kathleen Smoot
6/26/2018 Notice of Filing - Miscellaneous Timothy J. Galligan David Paul Smoot and Marie Kathleen Smoot
6/21/2018 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service Toni Brown (G. Flores or Perkins Coie, LLP) Securities Division
6/21/2018 Request for Hearing David P. Smoot All Respondents
6/11/2018 Securities Division - Notice of Opportunity Mark Dinell, Assistant Director - Securities Division A.C.C.
6/11/2018 Motion/Request to Withdraw as Counsel Joseph E. Mais, Atty. David Paul Smoot, et al.
6/4/2018 Securities Division Motion/Request - Miscellaneous Ryan J. Millecam, Atty - Securities Division, A.C.C.
5/29/2018 Motion/Request for Reconsideration of Ruling Brian C. Lake, Atty. David Paul Smoot, et al.
5/9/2018 Procedural Order - Denies a Miscellaneous Motion/Request Marc E. Stern, Administrative Law Judge - Hearing Division, A.C.C.
4/6/2018 Response to Motion/Reply to Response to Motion Joseph E. Mais, Atty. David Paul Smoot, et al.
3/16/2018 Securities Division Motion/Request - Miscellaneous Ryan J. Millecam, Atty. - Securities Division, A.C.C.
2/23/2018 Motion/Request to Dismiss Joseph E Mais, Atty. David Paul Smoot, et al.
2/2/2018 Transcript - Securities Coash & Coash
1/9/2018 Procedural Order - Sets a Procedural Schedule/Conference Marc E. Stern, Administrative Law Judge - Hearing Division, A.C.C.
12/19/2017 Securities Division Motion/Request - Miscellaneous Ryan J. Millecam, Atty - Securities Division, A.C.C.
9/13/2017 Returned Certified Mail Timothy Galligan
8/21/2017 Return Receipt/Green Card Michael D. Kimerer, Atty.
8/18/2017 Return Receipt/Green Card Brian Lake
8/18/2017 Return Receipt/Green Card Charles Berry
8/14/2017 Procedural Order - Grants a Miscellaneous Motion/Request Marc E. Stern, Administrative Law Judge - Hearing Division, A.C.C.
8/14/2017 Procedural Order - Grants a Miscellaneous Motion/Request Marc E. Stern, Administrative Law Judge - Hearing Division, A.C.C.
8/3/2017 Motion/Request to Withdraw as Counsel Charles R. Berry David Paul Smoot, et al.
7/26/2017 Notice of Appearance Brian C. Lake David Paul Smoot, et al.
10/23/2014 Procedural Order - Grants a Miscellaneous Motion/Request Marc E. Stern, Administrative Law Judge - A.C.C. Arizona Corporation Commission
10/15/2014 Withdrawal of Counsel Robert D. Mitchell David Paul Smoot, et al.
8/19/2014 Notice of Appearance Charles R. Berry David Paul Smoot, et al.
4/4/2012 Procedural Order - Grants a Miscellaneous Motion/Request Marc E. Stern, Administrative Law Judge - A.C.C.
3/27/2012 Response inactive Robert D. Mitchell, Counsel Respondents
3/20/2012 Response to Motion Mike Dailey Securities Division
3/8/2012 Response inactive Mike Dailey Securities Division
3/6/2012 Motion/Request - Miscellaneous Robert D. Mitchell
2/15/2012 Procedural Order - Sets Miscellaneous Filing Dates Marc E. Stern, Administrative Law Judge - A.C.C.
2/14/2012 Correspondence - Miscellaneous Lyn Farmer, Chief Hearing Officer - A.C.C.
2/14/2012 Procedural Order - Admits an Attorney Pro Hac Vice Lyn Farmer, Chief Hearing Officer - A.C.C.
2/3/2012 Response to Motion Mike Dailey Securities Division
2/3/2012 Brief Inactive Sarah K. Deutsch Counsel for Respondents
2/2/2012 Transcript Arizona Reporting Service, Inc. - Court Reporters
1/30/2012 Returned Certified Mail Timothy Galligan
12/2/2011 Answer Robert D. Mitchell
11/30/2011 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
11/28/2011 Return Receipt/Green Card Timothy Galligan
11/21/2011 Procedural Order- Reschedules a Pre-Hearing Marc E. Stern, Administrative Law Judge - A.C.C.
11/17/2011 Motion/Request - Miscellaneous Timothy J. Galligan
11/17/2011 Notice of Filing - Miscellaneous inactive Timothy J. Galligan
11/14/2011 Return Receipt/Green Card Arizona Reporting Service, Inc. - Court Reporters
11/1/2011 Response to Motion Mike Dailey Securities Division
11/1/2011 Procedural Order - Admits an Attorney Pro Hac Vice Marc E. Stern, Administrative Law Judge - A.C.C.
11/1/2011 Procedural Order - Sets a Pre-Hearing Marc E. Stern, Administrative Law Judge - A.C.C.
10/31/2011 Request for a Hearing inactive Michael D. Kimerer
10/25/2011 Motion/Request - Miscellaneous Michael D. Kimerer, Atty. David Paul Smoot and Marie Kathleen Smoot
10/25/2011 Notice of Appearance Michael D. Kimerer, Atty. David Paul Smoot and Marie Kathleen Smoot
10/25/2011 Notice of Filing - Miscellaneous inactive Michael D. Kimerer, Atty. David Paul Smoot and Marie Kathleen Smoot
10/21/2011 Affidavit/Certification - Service Gary Clapper
10/20/2011 Securities Division - Notice of Opportunity Matthew Neubert, Director of Securities
9/13/2011 Correspondence - Miscellaneous Lyn Farmer, Chief Hearing Officer - A.C.C.
9/9/2011 Motion/Request - Miscellaneous Timothy J. Galligan
8/11/2011 Application - Securities Mike Dailey
Decision # Decision Date Description PDF
77255 6/13/2019 Decision - Order to Cease & Desist
Case Schedule Report
 
Location Type Date Time Completed Details Download Outlook Calendar
H.R. #1 Securities Prehearing Conference 1/18/2012 10:00 AM 1/19/2012
N/A Due - Response 3/8/2012 4:00 PM
N/A Status Conference 1/23/2018 10:00 AM
N/A Due - Response 9/14/2018 4:00 PM
N/A Pre-hearing Conference 10/23/2018 10:00 AM
N/A Open Meeting 6/11/2019 9:00 AM
N/A Open Meeting 6/12/2019 9:00 AM
N/A Due - Witness List 4/29/2019 4:00 PM
N/A Due - Witness List 5/8/2019 4:00 PM
Case Staff
Name Area Assigned
Clapper Securities 8/18/2011
Marc Stern Hearing 8/16/2011
Ryan Millecam Securities 8/15/2017
Marc Stern Hearing 8/16/2011
Service List Report (PDF) Service List Report (WORD) Complete Service List Report (PDF)
 
Entity Representative Address Date Added Email Email Opt-in
David Smoot
 		Michael Kimerer
 		KIMERER & DERRICK PC
1313 E. Osborn Rd., Suite 100
Phoenix, AZ 85014 		8/14/2017
Securities Division
 		Mark Dinell
 Arizona Corporation Commission
 Director, Securities Division
 		1300 W. Washington St.
Phoenix, AZ 85007-2927 		11/1/2011 SecDivServicebyEmail@azcc.gov

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