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S-21018A-17-0232

Real Estate Finance Corporation; WIN Opportunity Fund, LLC;


Securities

Securities - General

Compliance Due

7/11/2017

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

17-0232

 
Filing Date
Description Filed By Filed For Document Details PDF
5/31/2019 Procedural Order - Regarding eFiling Brian D. Schneider, Administrative Law Judge Hearing Division
2/25/2019 Return Receipt/Green Card Anna Finn, Atty.
2/20/2019 Procedural Order - Vacates a Hearing Brian D. Schneider, Administrative Law Judge Hearing Division
2/14/2019 Return Receipt/Green Card Anna Finn, Atty.
2/7/2019 Decision - Order to Cease & Desist A.C.C. (#77069)
1/30/2019 Open Meeting Agenda Matthew J. Neubert, Executive Director
1/30/2019 Open Meeting Agenda Matthew J. Neubert, Executive Director
1/28/2019 Securities Division Motion/Request to Continue a Hearing Ryan J. Millecam, Atty. Securities Division
1/22/2019 Proposed Consent Order from the Securities Division Mark Dinell, Director Securities Division
12/26/2018 Transcript - Securities Coash & Coash
12/17/2018 Return Receipt/Green Card Anna Finn, Atty.
12/7/2018 Procedural Order - Sets a Hearing Brian D. Schneider, Administrative Law Judge Hearing Division
11/26/2018 Return Receipt/Green Card Anna Finn, Atty.
11/15/2018 Procedural Order - Grants a Miscellaneous Motion/Request Brian D. Schneider, Administrative Law Judge Hearing Division
11/13/2018 Securities Division Motion/Request - Miscellaneous Ryan J. Millecam, Atty. and Anna M. Chapman, Atty. Securities Division and Respondents
5/15/2018 Returned Certified Mail Lee Stein, Atty.
5/14/2018 Transcript - Securities Coash & Coash
5/8/2018 Procedural Order - Sets a Hearing Brian D. Schneider, Administrative Law Judge - Hearing Division, A.C.C.
3/21/2018 Return Receipt/Green Card Anna Finn, Atty.
3/14/2018 Procedural Order - Grants a Miscellaneous Motion/Request Brian D. Schneider, Administrative Law Judge - Hearing Division, A.C.C.
3/13/2018 Securities Division Motion/Request - Miscellaneous Ryan J. Millecam, Atty - Securities Division, A.C.C. and Anne M. Chapman, Atty. Real Estate Finance Corporation, et, al.
12/28/2017 Procedural Order - Grants a Miscellaneous Motion/Request Brian D. Schneider, Administrative Law Judge - Hearing Division, A.C.C.
12/20/2017 Securities Division Motion/Request - Miscellaneous Ryan J. Miilecam, Atty.- Securities Division and Anne M. Chapman, Atty Securities Division and Respondents
9/5/2017 Return Receipt/Green Card Anna Finn
9/1/2017 Transcript Coash & Coash
8/30/2017 Procedural Order - Sets a Hearing Brian Schneider, Administrative Law Judge - Hearing Division
8/7/2017 Return Receipt/Green Card Anna Finn
8/7/2017 Securities Anna H. Finn Real Estate Finance Corporation, WIN Opportunity Fund, LLC, WIN Management, LLC, Adam W. Child, and Erin M. Child
8/2/2017 Procedural Order - Sets a Pre-Hearing Brian Schneider, Administrative Law Judge - Hearing Division
8/1/2017 Procedural Order - Regarding Consent to Email Service Brian Schneider, Administrative Law Judge - Hearing Division
7/27/2017 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service William C. Woerner (WIN Opportunity Fund, LLC) Securities Division
7/27/2017 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service William C. Woerner (WIN Management, LLC) Securities Division
7/27/2017 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service William C. Woerner (Real Estate Finance Corporation) Securities Division
7/27/2017 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service William C. Woerner (Erin M. Child) Securities Division
7/27/2017 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service William C. Woerner (Adam W. Child) Securities Division
7/25/2017 Request for Hearing Anna H. Finn Real Estate Finance Corporation, WIN Opportunity Fund, LLC, WIN Management, LLC, Adam W. Child and Erin M. Child
7/11/2017 Application - Securities Matthew Neubert, Director of Securities Division
Decision # Decision Date Description PDF
77069 2/7/2019 Decision - Order to Cease & Desist
 
Location Type Date Time Completed Details Download Outlook Calendar
N/A Pre-hearing Conference 8/29/2017 10:00 AM
N/A Due - Exhibits 12/22/2017 4:00 PM
N/A Due - Witness List 12/22/2017 4:00 PM
N/A Due - Witness List 1/12/2018 4:00 PM
N/A Due - Exhibits 1/12/2018 4:00 PM
N/A Status Conference 5/2/2018 10:00 AM
N/A Status Conference 12/6/2018 10:00 AM
N/A Due - Witness List 10/12/2018 4:00 PM
N/A Open Meeting 2/5/2019 10:00 AM
N/A Open Meeting 2/6/2019 10:00 AM
Case Staff
Name Area Assigned
Ryan Millecam Securities 7/11/2017
Brian Schneider Hearing 7/13/2017
William Woerner Securities 7/11/2017
 
Entity Representative Address Date Added Email Email Opt-in
Mark Dinell
Arizona Corporation Commission
Director, Securities Division
1300 W. Washington St.
Phoenix, AZ 85007-2927
7/11/2017 SecDivServicebyEmail@azcc.gov
Anna Finn
MITCHELL STEIN CAREY, PC
One Renaissance Square
Two North Central, Ste. 1
Phoenix, AZ 85004
8/2/2017

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