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S-21076A-19-0100

Theodore W. Fowler and Shana C. Fowler; Whispering Creek Investments LLC


Securities

Securities - General

Compliance Due

5/20/2019

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.

19-0100

 
Filing Date
Description Filed By Filed For Document Details PDF
10/31/2019 Return Receipt/Green Card Alan S. Baskin, Atty.
10/24/2019 Decision - Order to Cease & Desist A.C.C. (#77427)
10/18/2019 Open Meeting Agenda Matthew J. Neubert, Executive Director
10/11/2019 Open Meeting Agenda Matthew J. Neubert, Executive Director
10/8/2019 Proposed Consent Order from the Securities Division Mark Dinell, Director Securities Division
9/24/2019 Return Receipt/Green Card Alan S. Baskin, Atty.
9/18/2019 Procedural Order - Reschedules a Hearing Brian D. Schneider, Administrative Law Judge Hearing Division
7/16/2019 Transcript - Securities Coash & Coash
7/9/2019 Return Receipt/Green Card Alan S. Baskin, Atty.
7/9/2019 Procedural Order - Regarding eFiling Brian D. Schneider, Administrative Law Judge Hearing Division
7/5/2019 Procedural Order - Sets a Hearing Brian D. Schneider, Administrative Law Judge Hearing Division
6/21/2019 Securities Alan S. Baskin, Atty. Respondents Theodore and Shana Fowler and Whispering Creek Investments LLC
6/19/2019 Return Receipt/Green Card Alan Baskin, Atty.
6/10/2019 Procedural Order - Sets a Pre-Hearing Brian D. Schneider, Administrative Law Judge Hearing Division
6/6/2019 Request for Hearing Alan S. Baskin, Atty. Respondents Theodore and Shana Fowler and Whispering Creek Investments LLC
5/22/2019 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service Alex Ramirez (Theodore W. Fowler) Securities Division
5/22/2019 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service Alex Ramirez (Whispering Creek Investments, LLC) Securities Division
5/22/2019 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service Alex Ramirez (Shana C. Fowler) Securities Division
5/20/2019 Securities Division - Notice of Opportunity Wendy Coy, Assistant Director Securities Division
Decision # Decision Date Description PDF
77427 10/24/2019 Decision - Order to Cease & Desist
 
Location Type Date Time Completed Details Download Outlook Calendar
N/A Open Meeting 10/22/2019 1:30 PM
N/A Pre-hearing Conference 7/2/2019 10:00 AM
N/A Hearing 3/23/2020 10:00 AM
N/A Hearing 3/24/2020 9:00 AM
N/A Hearing 3/26/2020 9:00 AM
N/A Hearing 3/27/2020 9:00 AM
N/A Hearing 3/30/2020 9:00 AM
N/A Hearing 3/31/2020 9:00 AM
N/A Hearing 4/1/2020 9:00 AM
N/A Hearing 4/2/2020 9:00 AM
N/A Hearing 4/3/2020 9:00 AM
N/A Due - Witness List 1/31/2020 4:00 PM
Case Staff
Name Area Assigned
Brian Schneider Hearing 5/22/2019
Michael Shaw Securities 6/7/2019
Margaret Hinchey Securities 6/7/2019
 
Representative Address Date Added Email Email Opt-in
Mark Dinell
ARIZONA CORPORATION COMMISSION
Director, Securities Division
1300 W. Washington St.
Phoenix, AZ 85007-2927
5/20/2019 SecDivServicebyEmail@azcc.gov
Alan Baskin
BASKIN RICHARDS PLC
2901 North Central Avenue
Suite 1150
Phoenix, AZ 85012
6/13/2019

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