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S-21038A-18-0022

Ronald Horn; Daniel Rondberg and Jennifer Rondberg; Randy and Katherine Rondberg; Jason Walter and Samantha Walter; John Walter and Janis Walter; Trager, L.L.C.


Securities

Securities - General

Compliance Due

1/29/2018

Notice of Opportunity for Hearing Regarding Proposed Order to Cease and Desist, Order for Restitution, Order for Administrative Penalties, Order of Denial, and Order for Other Affirmative Action.

18-0022

 
Filing Date
Description Filed By Filed For Document Details PDF
9/17/2019 Return Receipt/Green Card Paul J. Roshka, Jr., Atty.
9/11/2019 Decision - Order to Cease & Desist A.C.C. (#77400)
9/11/2019 Decision - Order to Cease & Desist A.C.C. (#77399)
9/11/2019 Decision - Order to Cease & Desist A.C.C. (#77398)
9/11/2019 Decision - Order to Cease & Desist A.C.C. (#77397)
9/11/2019 Decision - Order to Cease & Desist A.C.C. (#77396)
9/11/2019 Decision - Order to Cease & Desist A.C.C. (#77395)
9/6/2019 Open Meeting Agenda Matthew J. Neubert, Executive Director
8/27/2019 Proposed Consent Order from the Securities Division Mark Dinell, Director Securities Division
8/27/2019 Proposed Consent Order from the Securities Division Mark Dinell, Director Securities Division
8/27/2019 Proposed Consent Order from the Securities Division Mark Dinell, Director Securities Division
8/27/2019 Proposed Consent Order from the Securities Division Mark Dinell, Director Securities Division
8/27/2019 Proposed Consent Order from the Securities Division Mark Dinell, Director Securities Division
8/27/2019 Proposed Consent Order from the Securities Division Mark Dinell, Director Securities Division
8/15/2019 Return Receipt/Green Card Paul Roshka, Atty.
8/8/2019 Procedural Order - Vacates a Hearing Marc E. Stern, Administrative Law Judge Hearing Division
8/7/2019 Motion/Request to Continue a Hearing Paul Kitchin, Atty. and Paul J. Roshka, Atty. Securities Division and Respondents
8/7/2019 Procedural Order - Grants a Miscellaneous Motion/Request Marc E. Stern, Administrative Law Judge Hearing Division
8/5/2019 Transcript - Securities Coash & Coash
8/1/2019 Stipulation Paul J. Roshka, Jr., Atty. and Paul Kitchin, Atty. Respondents and Securities Division
8/1/2019 Motion/Request - Miscellaneous Paul Kitchin, Atty. Securities Division
7/29/2019 Stipulation Paul J. Roshka, Jr., Atty. and Paul Kitchin, Atty. Respondents and Securities Division
7/19/2019 Motion/Request - Miscellaneous Paul Kitchin, Atty. Securities Division
7/17/2019 Return Receipt/Green Card Paul Roshka, Atty.
7/11/2019 Procedural Order - Sets a Procedural Schedule/Conference Marc E. Stern, Administrative Law Judge Hearing Division
7/9/2019 Motion/Request - Miscellaneous Paul Kitchin, Atty. and Craig Waugh, Atty. Securities Division and Respondents
7/3/2019 Notice of Filing - Miscellaneous Paul J. Roshka, Jr., Atty. Respondents
7/3/2019 Securities Division Response Paul Kitchin, Atty. Securities Division
5/30/2019 Motion/Request for an Extension of Time Paul J. Roshka, Jr., Atty. Respondents
5/29/2019 Procedural Order - Regarding eFiling Marc E. Stern, Administrative Law Judge Hearing Division
5/24/2019 Motion/Request for an Extension of Time Paul J. Roshka, Jr., Atty. Respondents Ronald Horn, et al.
4/8/2019 Transcript - Securities Coash & Coash
3/29/2019 Return Receipt/Green Card Paul Roshka, Atty.
3/22/2019 Procedural Order - Sets a Hearing Marc E. Stern, Administrative Law Judge Hearing Division
2/27/2019 Return Receipt/Green Card Paul Roshka, Atty.
2/22/2019 Procedural Order - Sets a Procedural Schedule/Conference Marc E. Stern, Administrative Law Judge Hearing Division
2/22/2019 Securities Division Notice of Filing - Miscellaneous Paul Kitchin, Atty. Securities Division
1/18/2019 Response to Motion/Reply to Response to Motion Craig M. Waugh, Atty. Respondents Ronald Horn, et al.
1/4/2019 Securities Division Response to Motion/Reply to Response to Motion Paul Kitchin, Atty. Securities Division
11/30/2018 Motion/Request for the Issuance of a Procedural Order Craig M. Waugh, Atty. Respondents Ronald Horn, et al.
11/19/2018 Transcript - Securities Coash & Coash
10/29/2018 Procedural Order - Approving Consent to Email Service Marc E. Stern, Administrative Law Judge Hearing Division
10/18/2018 Consent to Email Service Paul J. Roshka, Jr., Atty. Respondents Ronald Horn, et al.
10/11/2018 Return Receipt/Green Card Paul Roshka, Atty.
10/4/2018 Procedural Order - Regarding Consent to Email Service Marc E. Stern, Administrative Law Judge Hearing Division
10/4/2018 Procedural Order - Sets a Procedural Schedule/Conference Marc E. Stern, Administrative Law Judge Hearing Division
8/23/2018 Securities Division Response to Motion/Reply to Response to Motion Paul Kitchin, Atty. Securities Division
8/20/2018 Response to Motion/Reply to Response to Motion Craig M. Waugh, Atty. Respondents Ronald Horn, et al.
7/30/2018 Securities Division Motion/Request - Miscellaneous Paul Kitchin, Atty.- Securities Division
6/5/2018 Response to Motion/Reply to Response to Motion Craig M. Waugh, Atty. Respondents
6/4/2018 Return Receipt/Green Card Paul J. Roshka, Jr., Atty.
5/30/2018 Securities Division Motion/Request - Miscellaneous Paul Kitchin, Atty - Securities Division
5/25/2018 Procedural Order - Vacates a Hearing Marc E. Stern, Administrative Law Judge - Hearing Division, A.C.C.
5/16/2018 Response to Motion/Reply to Response to Motion Craig M. Waugh, Atty. Ronald Horn, Daniel Rondberg, Randy Rondberg, Jason Walter, John Walter, and Trager, L.L.C
5/4/2018 Securities Division Response to Motion/Reply to Response to Motion Paul Kitchin, Atty.- Securities Division
4/20/2018 Motion/Request - Miscellaneous Paul J. Roshka, Jr., Atty. Respondents
4/16/2018 Return Receipt/Green Card Paul J. Roshka, Jr., Craig M. Waugh and Isabella M. Leavitt
4/10/2018 Procedural Order - Sets a Hearing Marc E. Stern, Administrative Law Judge - Hearing Division, A.C.C.
4/6/2018 Transcript - Securities Coash & Coash
3/13/2018 Return Receipt/Green Card Paul J. Roshka, Jr., Craig M. Waugh and Isabella M. Leavitt
3/6/2018 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service Jerry Lowe (Randy Rondberg) Securities Division
3/5/2018 Procedural Order - Sets a Pre-Hearing Marc E. Stern, Administrative Law Judge - Hearing Division, A.C.C.
3/2/2018 Securities Paul J. Roshka, Jr., Atty. Respondents
3/1/2018 Stipulation Paul J. Roshka, Jr., Atty. and Paul Kitchin, Atty.- Securities Division Respondents and Securities Division
2/15/2018 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service Jerry Lowe (Randy Rondberg)
2/14/2018 Request for Hearing Paul J. Roshka, Jr., Atty. Respondents
2/8/2018 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service Jerry Lowe (Janis Walter) Securities Division
2/8/2018 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service Jerry Lowe (John Walter) Securities Division
2/8/2018 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service Jerry Lowe (Samantha Walter) Securities Division
2/8/2018 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service Jerry Lowe (Jason Walter) Securities Division
2/8/2018 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service Jerry Lowe (Jennifer Rondberg) Securities Division
2/8/2018 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service Jerry Lowe (Katherine Rondberg) Securities Division
2/8/2018 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service Jerry Lowe (Ronald Horn) Securities Division
2/8/2018 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service Jerry Lowe (Daniel Rondberg) Securities Division
2/8/2018 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service Jerry Lowe (Trager, LLC) Securities Division
2/8/2018 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service Jerry Lowe (Randall Rondberg) Securities Division
1/29/2018 Application - Securities Matthew J. Neubert, Director of Securities, A.C.C
Decision # Decision Date Description PDF
77395 9/11/2019 Decision - Order to Cease & Desist
77396 9/11/2019 Decision - Order to Cease & Desist
77397 9/11/2019 Decision - Order to Cease & Desist
77398 9/11/2019 Decision - Order to Cease & Desist
77399 9/11/2019 Decision - Order to Cease & Desist
77400 9/11/2019 Decision - Order to Cease & Desist
 
Location Type Date Time Completed Details Download Outlook Calendar
N/A Procedural Conference 3/20/2018 10:00 AM
N/A Status Conference 10/31/2018 10:00 AM
N/A Open Meeting 9/10/2019 10:00 AM
N/A Open Meeting 9/11/2019 10:00 AM
N/A Procedural Conference 3/20/2019 10:00 AM
See Notes Due - Witness List 5/1/2019 4:00 PM
See Notes Due - Witness List 5/17/2019 4:00 PM
N/A Tele Procedural Conf. 7/15/2019 10:00 AM
Case Staff
Name Area Assigned
Paul Kitchin Securities 1/30/2018
Jerry Lowe Securities 1/30/2018
Marc Stern Hearing 2/16/2018
 
Representative Address Date Added Email Email Opt-in
Mark Dinell
ARIZONA CORPORATION COMMISSION
Director, Securities Division
1300 W. Washington St.
Phoenix, AZ 85007-2927
1/29/2018 SecDivServicebyEmail@azcc.gov
Paul Roshka
POLISINELLI, PC
CityScape, One East Washington Street
Suite 1200
Phoenix, AZ 85004
2/14/2018 cwaugh@polsinelli.com
ArizonaDocketing@polsinelli.com
proshka@polsinelli.com
sfrith@polsinelli.com
cekstrom@polsinelli.com

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