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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
8/13/2020 Returned Certified Mail Performance Arbitrage Company, Inc.
3/5/2020 Securities Division Brief Mitchell Allee, Atty. Securities Divison
3/5/2020 Securities Division Brief Paul Kitchin, Atty. Securities Division
2/28/2020 Returned Certified Mail Michelle Plant
2/25/2020 Returned Certified Mail Michael Woodard
2/13/2020 Returned Certified Mail Financial Product Distributors, LLC
2/11/2020 Return Receipt/Green Card Performance Arbitrage Company, Inc.
2/10/2020 Returned Certified Mail Mark Corbett
1/27/2020 Procedural Order - Grants an Extension of Time Mark Preny, Administrative Law Judge Hearing Division
1/22/2020 Securities Division Motion/Request for an Extension of Time Wendy Coy, Assistant Director Securities Division
1/7/2020 Brief Robert B. Zelms, Atty. Upstate Law Group, LLC and Candy Kern-Fuller
1/6/2020 Brief Michelle Plant
11/26/2019 Procedural Order - Grants an Extension of Time Mark Preny, Administrative Law Judge Hearing Division
11/25/2019 Response to Motion/Reply to Response to Motion Robert B. Zelms, Atty. Upstate Law Group, LLC and Candy Kern-Fuller
11/19/2019 Notice of Filing - Miscellaneous Michelle Plant
11/19/2019 Securities Division Response to Motion/Reply to Response to Motion James D. Burgess, Atty. Securiites Division
11/15/2019 Securities Division Response to Motion/Reply to Response to Motion James D. Burgess, Atty. Securities Division
11/15/2019 Procedural Order - Grants an Extension of Time Mark Preny, Administrative Law Judge Hearing Division
11/14/2019 Motion/Request - Miscellaneous Robert B. Zelms, Atty. Upstate Law Group, LLC and Candy Kern Fuller
11/12/2019 Motion/Request for an Extension of Time Michelle Plant
11/12/2019 Amendment/Supplement to a Previously Filed Response Michelle Plant
11/7/2019 Motion/Request for an Extension of Time Robert B. Zelms, Atty. Upstate Law Group, LLC and Candy Kern-Fuller
10/23/2019 Securities Division Brief James D. Burgess, Atty. Securities Division
9/18/2019 Exhibit Coash & Coash (Part 6 of 15)
9/18/2019 Exhibit Coash & Coash (Part 5 of 15)
9/18/2019 Exhibit Coash & Coash (Part 3 of 15)
9/18/2019 Exhibit Coash & Coash (Part 2 of 15)
9/18/2019 Exhibit Coash & Coash (Part 1 of 15)
9/18/2019 Transcript - Securities Coash & Coash (VI)
9/18/2019 Transcript - Securities Coash & Coash (Vol. V)
9/18/2019 Transcript - Securities Coash & Coash (Vol. IV)
9/18/2019 Transcript - Securities Coash & Coash (Vol. III)
9/18/2019 Transcript - Securities Coash & Coash (Vol. II)
9/18/2019 Transcript - Securities Coash & Coash (Vol. I)
9/18/2019 Exhibit Coash & Coash (Part 7 of 15)
9/18/2019 Exhibit Coash & Coash (Part 4 of 15)
9/18/2019 Exhibit Coash & Coash (Part 8 of 15)
9/18/2019 Exhibit Coash & Coash (Part 10 of 15)
9/18/2019 Exhibit Coash & Coash (Part 11 of 15)
9/18/2019 Exhibit Coash & Coash (Part 12 of 15)
9/18/2019 Exhibit Coash & Coash (Parts 13 of 15)
9/18/2019 Exhibit Coash & Coash (Part 9 of 15)
9/18/2019 Exhibit Coash & Coash (Part 15 of 15)
9/18/2019 Exhibit Coash & Coash (Part 14 of 15)
9/10/2019 Returned Certified Mail Michelle Plant
8/27/2019 Returned Certified Mail Michael Woodward
8/27/2019 Returned Certified Mail Financial Product Distributors, LLC
8/26/2019 Response to Motion/Reply to Response to Motion Robert B. Zelms, Atty. Upstate Law Group and Candy Kern-Fuller
8/23/2019 Return Receipt/Green Card Performance Arbitrage Company, Inc.
8/23/2019 Returned Certified Mail Mark Corbett
8/23/2019 Response to Motion/Reply to Response to Motion Michelle Plant
8/22/2019 Return Receipt/Green Card Robert Zelms
8/21/2019 Securities Division Response to Motion/Reply to Response to Motion Mitchell Allee, Atty. Securities Division
8/21/2019 Securities Division Notice of Errata Mitchell Allee, Atty. Securities Divison
8/20/2019 Rejected - Notice of Filing - Miscellaneous Michelle Plant Michelle Plant
8/20/2019 Notice of Filing - Miscellaneous Michelle Plant
8/19/2019 Response to Motion/Reply to Response to Motion Michelle Plant
8/19/2019 Motion/Request - Miscellaneous Michelle Plant Michelle Plant
8/16/2019 Securities Division Notice of Filing - Miscellaneous Mitchell Allee, Atty. Securities Division
8/16/2019 Securities Division Response to Motion/Reply to Response to Motion Mitchell Allee, Atty. Securities Division
8/16/2019 Motion/Request to Continue a Hearing Michelle Plant
8/16/2019 Motion to Strike Robert B. Zelms, Atty. Upstate Law Group and Candy Kern-Fuller
8/14/2019 Procedural Order - Grants a Miscellaneous Motion/Request Mark Preny, Administrative Law Judge Hearing Division
8/13/2019 Transcript - Securities Coash & Coash
8/13/2019 Securities Division Response to Motion/Reply to Response to Motion James D. Burgess, Atty. Securities Division
8/9/2019 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service Karen Houle (Mark Corbett) Securities Division
8/7/2019 Motion/Request to Appear Other than in Person Michelle Plant
8/7/2019 Securities Michelle Plant
8/7/2019 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service Karen Houle Securities Division
8/5/2019 Securities Robert B. Zelms, Atty. Upstate Law Group, LLC and Candy Kern Fuller
7/31/2019 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service Karen Houle (Michelle Plant) Securities Division
7/25/2019 Procedural Order - Grants a Miscellaneous Motion/Request Mark Preny, Administrative Law Judge Hearing Division
7/23/2019 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service Karen Houle Securities Division
7/19/2019 Procedural Order - Sets a Procedural Schedule/Conference Mark Preny, Administrative Law Judge Hearing Division
7/18/2019 Motion/Request - Miscellaneous James D. Burgess, Atty. Securities Division
7/16/2019 Affidavit/Certification of Mailing/Publication/Notice/Service William C. Woerner (Michael and Deborah Woodward) Securities Division
7/16/2019 Securities Division Notice of Errata James D. Burgess, Atty. Securities Division
7/12/2019 Securities Division Motion/Request - Miscellaneous James D. Burgess, Atty. Securities Division
7/10/2019 Affidavit/Certification of Mailing/Publication/Notice/Service William C. Woerner Securities Division
7/10/2019 Affidavit/Certification of Mailing/Publication/Notice/Service William C. Woerner Securities Division
7/8/2019 Securities Division - Notice of Opportunity Mark Dinell, Director Securities Division
7/8/2019 Securities Division Motion/Request - Miscellaneous James D. Burgess Securities Division
6/27/2019 Motion/Request - Miscellaneous Robert B. Zelms, Atty. Upstate Law Group, LLC and Candy Kern Fuller
6/18/2019 Securities Division Notice of Filing - Miscellaneous James D. Burgess, Atty. Securities Division
6/13/2019 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service Karen Houle (Michelle Plant) Securities Division
6/13/2019 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service Karen Houle (Performance Arbitrage Company, Inc. c/o Michelle Plant) Securities Division
5/28/2019 Procedural Order - Grants a Miscellaneous Motion/Request Mark Preny, Administrative Law Judge Hearing Division
5/28/2019 Procedural Order - Regarding eFiling Mark Preny, Administrative Law Judge Hearing Division
5/24/2019 Securities Division Motion/Request - Miscellaneous James D. Burgess, Atty. and Samantha J. Kattau, Atty. Securities Division; Upstate Law Group, LLC and Candy Kern-Fuller
3/22/2019 Returned Certified Mail Mark Corbett
3/7/2019 Return Receipt/Green Card Robert Zelms
3/4/2019 Procedural Order - Reschedules a Hearing Mark Preny, Administrative Law Judge Hearing Division
3/4/2019 Stipulation Courtney D. Casiano, Atty. and James D. Burgess, Atty. Upstate Law Group, LLC, Candy Kern Fuller and Securities Division
2/26/2019 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service Karen Houle (Michael David Woodard) Securities Division
2/25/2019 Return Receipt/Green Card Robert Zelms
2/25/2019 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service Karen Houle (Michael David Woodard and Deb Woodard) Securities Division
2/19/2019 Procedural Order - Sets a Procedural Schedule/Conference Mark Preny, Administrative Law Judge Hearing Division
2/19/2019 Securities Division Response to Motion/Reply to Response to Motion James D. Burgess, Atty. Securities Division
2/14/2019 List of Witnesses and/or Exhibits Robert B. Zelms, Atty. Upstate Law Group, LLC and Candy Kern-Fuller
2/13/2019 Motion/Request to Modify a Procedural Order Robert B. Zelms, Atty. Upstate Law Group, LLC and Candy Kern-Fuller
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
See Notes Hearing 8/19/2019 10:00 AM
N/A Hearing 8/20/2019 9:00 AM
N/A Hearing 8/21/2019 9:00 AM
N/A Hearing 8/22/2019 9:00 AM
N/A Hearing 8/23/2019 9:00 AM
N/A Hearing 8/26/2019 9:00 AM
N/A Hearing 8/27/2019 9:00 AM
N/A Hearing 8/30/2019 9:00 AM
N/A Hearing 8/28/2019 9:00 AM
N/A Hearing 8/29/2019 9:00 AM
N/A Due - Witness List 2/14/2019 4:00 PM
N/A Procedural Conference 3/11/2019 11:00 AM
N/A Due - Witness List 6/20/2019 4:00 PM
See Notes Telephonic Procedural Conference 7/24/2019 10:00 AM
N/A Due - Witness List 8/12/2019 4:00 PM
N/A Due - Exhibits 8/14/2019 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
William Woerner Securities 7/22/2019
 
Entity Representative Address Date Added Email Email Opt-in
Securities Division
Mark Dinell
Arizona Corporation Commission
Director, Securities Division
1300 W. Washington St.
Phoenix, AZ 85007-2927
6/29/2018 SecDivServicebyEmail@azcc.gov
Upstate Law Group, LLC and Candy Kern-Fuller
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
Mark Corbett
1614 Gateway Place
Rancho Mission Viejo, CA 92694
7/31/2018
Michelle Plant
Michelle Plant
10 Marywood
Ward, AR 72176
7/10/2019
Michael David and Deborah G. Woodard
Michael David and Deborah G. Woodard
811 Presa Arriba Road
Austin, TX 78733
7/10/2019
Performance Arbitrage Company, Inc.

Performance Arbitrage Company, Inc.
Performance Arbitrage Company, Inc.
232 Market Street
Flowood, MS 39232
7/10/2019
Financial Product Distributors, LLC

Financial Product Distributors, LLC
Financial Product Distributors, LLC
1250 S. Capital of TX Hwy, Building 3, Suite 400
Austin, TX 78746
7/10/2019
Michael David Woodard
Michael Woodard
c/o Financial Product Distributors, LLC
1250 S. Capital of TX Hwy, Building 3, Suite 400
Austin, TX 78746
7/10/2019

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