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S-21072A-19-0061

Wagner Capital Management, LLC; Zachary S. Wagner and Jessica N. Wagner


Securities

Securities - General

Compliance Due

3/26/2019

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

19-0061

 
Filing Date
Description Filed By Filed For Document Details PDF
12/23/2019 Return Receipt/Green Card David W. Williams, Atty.
12/17/2019 Return Receipt/Green Card David W. Williams, Atty.
12/17/2019 Decision - Order to Cease & Desist A.C.C. (#77497)
12/10/2019 Procedural Order - Vacates a Hearing Mark Preny, Administrative Law Judge Hearing Division
12/6/2019 Open Meeting Agenda Matthew J. Neubert, Executive Director
12/3/2019 Open Meeting Agenda Matthew J. Neubert, Executive Director
11/26/2019 Proposed Consent Order from the Securities Division Mark Dinell, Director
7/11/2019 Returned Certified Mail Zachary Wagner
7/3/2019 Transcript - Securities Coash & Coash
6/21/2019 Return Receipt/Green Card David W. Williams, Atty.
6/13/2019 Procedural Order - Approving Consent to Email Service Mark Preny, Administrative Law Judge Hearing Division
6/13/2019 Procedural Order - Sets a Hearing Mark Preny, Administrative Law Judge Hearing Division
6/11/2019 Consent to Email Service David W. Williams, Atty. Zachary S. Wagner
5/28/2019 Procedural Order - Regarding Consent to Email Service Mark Preny, Administrative Law Judge Hearing Division
5/28/2019 Procedural Order - Sets a Pre-Hearing 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 David W. Williams, Atty. Wagner Capital Management, LLC; Zachary S. Wagner and Jessica N. Wagner
5/24/2019 Request for Hearing David W. Williams, Atty. Wagner Capital Management, LLC; Zachary S. Wagner and Jessica N. Wagner
4/5/2019 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service Darius L. Taylor (Zachary Scott Wagner) Securities Division
3/26/2019 Securities Division - Notice of Opportunity Mark Dinell, Director Securities Division
Decision # Decision Date Description PDF
77497 12/18/2019 Decision - Order to Cease & Desist
 
Location Type Date Time Completed Details Download Outlook Calendar
N/A Open Meeting 12/10/2019 10:00 AM
N/A Open Meeting 12/11/2019 10:00 AM
N/A Pre-hearing Conference 6/13/2019 10:00 AM
N/A Due - Witness List 11/1/2019 4:00 PM
Case Staff
Name Area Assigned
Mark Preny Hearing 4/1/2019
Ryan Millecam Securities 4/10/2019
Darius Taylor Securities 4/10/2019
 
Representative Address Date Added Email Email Opt-in
Mark Dinell
Arizona Corporation Commission
Director, Securities Division
1300 W. Washington St.
Phoenix, AZ 85007-2927
3/26/2019 SecDivServicebyEmail@azcc.gov
David Williams
DAVIS MILES MCGUIRE GARDNER
40 E. Rio Salado Parkway, Suite 425
Tempe, AZ 85281
5/28/2019 dwilliams@davismiles.com
efile.dockets@davismiles.com
sdebuhr@davismiles.com

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