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S-21046A-18-0115

Advanced Planning Concepts, LLC, and Thomas J. Crisman


Securities

Securities - General

Compliance Due

5/8/2018

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

18-0115

 
Filing Date
Description Filed By Filed For Document Details PDF
5/28/2019 Procedural Order - Regarding eFiling Mark Preny, Administrative Law Judge Hearing Division
9/24/2018 Return Receipt/Green Card David Williams
9/17/2018 Decision - Order to Cease & Desist A.C.C. (#76873)
9/7/2018 Procedural Order - Vacates a Hearing Mark Preny, Administrative Law Judge Hearing Division
9/6/2018 Open Meeting Agenda Matthew J. Neubert, Interim Executive Director
9/6/2018 Securities Division Motion/Request to Continue a Hearing Ryan J. Millecam, Atty. Securities Division
9/5/2018 Open Meeting Agenda Matthew J. Neubert, Interim Executive Director
8/28/2018 Proposed Consent Order from the Securities Division Mark Dinell, Acting Director Securities Division
8/14/2018 Return Receipt/Green Card David Williams
8/10/2018 Procedural Order - Grants a Miscellaneous Motion/Request Mark Preny, Administrative Law Judge Hearing Division
8/10/2018 Securities Division Motion/Request - Miscellaneous Ryan J. Millecam, Atty. Securities Division
6/19/2018 Transcript - Securities Coash & Coash
6/13/2018 Return Receipt/Green Card David W. Williams
6/6/2018 Procedural Order - Sets a Hearing Mark Preny, Administrative Law Judge - Hearing Division, A.C.C.
6/5/2018 Securities David W. Williams, Atty. Advanced Planning Consents, LLC and Thomas J. Crisman
6/5/2018 Consent to Email Service David W. Williams, Atty. Advanced Planning Consents, LLC and Thomas J. Crisman
5/23/2018 Return Receipt/Green Card David W. Williams
5/17/2018 Procedural Order - Sets a Pre-Hearing Mark Preny, Administrative Law Judge - Hearing Division, A.C.C.
5/17/2018 Procedural Order - Regarding Consent to Email Service Mark Preny, Administrative Law Judge - Hearing Division, A.C.C.
5/16/2018 Securities David W. Williams, Atty. Advanced Planning Concepts, LLC and Thomas J. Crisman
5/15/2018 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service Toni Brown (David W. Williams, Atty.) Securities Division
5/8/2018 Application - Securities Matthew J. Neubert, Director of Securities
Decision # Decision Date Description PDF
76873 9/17/2018 Decision - Order to Cease & Desist
 
Location Type Date Time Completed Details Download Outlook Calendar
N/A Pre-hearing Conference 6/6/2018 10:00 AM
N/A Due - Witness List 8/31/2018 4:00 PM
H.R. #1 Open Meeting 9/11/2018 10:00 AM
H.R. #1 Open Meeting 9/12/2018 10:00 AM
Case Staff
Name Area Assigned
Ryan Millecam Securities 5/9/2018
Toni Brown Securities 5/9/2018
Mark Preny Hearing 5/11/2018
 
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
5/8/2018 SecDivServicebyEmail@azcc.gov
SecDivServicebyEmail@azcc.gov
David Williams
DAVIS MILES MCGUIRE GARDNER
40 E. Rio Salado Parkway, Suite 425
Tempe, AZ 85281
5/17/2018

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