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S-21104A-20-0103

Cornerstone Wealth Management, LLC; Nathaniel S. Barnhart and Lisa Renee Wilson Barnhart; AE Wealth Management, LLC; Christopher Spence Cox and Beth Cox; William Andrew Smith and Kimberly Ann Smith; Smith & Cox, LLC


Securities

Securities - General

Open

4/28/2020

Temporary Order to Cease and Desist and Notice of Opportunity for Hearing.

20-0103

 
Filing Date
Description Filed By Filed For Document Details PDF
8/3/2020 Returned Certified Mail Mark Chester, Atty.
7/22/2020 Transcript - Securities Coash & Coash
6/29/2020 Return Receipt/Green Card Alan S. Baskin, Atty.
6/26/2020 Return Receipt/Green Card Alan Baskin, Atty.
6/23/2020 Procedural Order - Modifies a [Previously Issued] Procedural Order Yvette B. Kinsey, Administrative Law Judge Hearing Division
6/22/2020 Procedural Order - Sets a Hearing Yvette B. Kinsey, Administrative Law Judge Hearing Division
6/2/2020 Securities Mark D. Chester, Atty. Smith and Cox, LLC, Cornerstone Wealth Management, LLC, Smith, Cox and Barnhart
6/1/2020 Securities Alan S. Baskin, Atty. AE Wealth Management, LLC
5/28/2020 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service William Woerner (Nathaniel S. Barnhart and Lisa Renee Wilson Barnhart) Securities Division
5/26/2020 Procedural Order - Regarding Consent to Email Service Yvette B. Kinsey, Administrative Law Judge Hearing Division
5/26/2020 Procedural Order - Sets a Pre-Hearing Yvette B. Kinsey, Administrative Law Judge Hearing Division
5/20/2020 Request for Hearing Mark D. Chester, Atty. Respondents Smith & Cox, LLC, et al.
5/19/2020 Request for Hearing Alan S. Baskin, Atty. AE Wealth Management, LLC
5/11/2020 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service Karen Houle (Christopher Spence and Beth Cox) Securities Division
5/8/2020 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service Karen Houle (Cornerstone Wealth Management, LLC c/o United States Corporation Agents, Inc., Statutory Agent) Securities Division
5/6/2020 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service Karen Houle (Smith & Cox, LLC) Securities Division
5/6/2020 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service Karen Houle (William Andrew (Andy) Smith and Kimberly Ann Smith Securities Division
5/4/2020 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service Karen Houle (AE Wealth Management, LLC) Securities Division
4/29/2020 Temporary Order to Cease and Desist Mark Dinell, Director Securities Division

No decisions found associated with this docket.

 
Location Type Date Time Completed Details Download Outlook Calendar
See Notes Telephonic Pre-hearing Conference 6/22/2020 10:00 AM
N/A Hearing 3/1/2021 9:00 AM
N/A Hearing 2/16/2021 10:00 AM
N/A Hearing 2/17/2021 9:00 AM
N/A Hearing 2/18/2021 9:00 AM
N/A Hearing 2/19/2021 9:00 AM
N/A Hearing 2/22/2021 9:00 AM
N/A Hearing 2/23/2021 9:00 AM
N/A Hearing 2/24/2021 9:00 AM
N/A Hearing 2/25/2021 9:00 AM
N/A Hearing 2/26/2021 9:00 AM
Case Staff
Name Area Assigned
James Burgess Securities 4/29/2020
William Woerner Securities 4/29/2020
Yvette Kinsey Hearing 4/30/2020
 
Entity Representative Address Date Added Email Email Opt-in
Securities Division
Mark Dinell
Arizona Corporation Commission Securities Division
Director, Securities Division
1300 W Washington Street 3rd floor
Phoenix, AZ 85007
4/29/2020 SecDivServicebyEmail@azcc.gov
AE Wealth Management, LLC
Alan Baskin
BASKIN RICHARDS PLC
2901 North Central Avenue
Suite 1150
Phoenix, AZ 85012
5/26/2020 alan@baskinrichards.com
Smith & Cox, LLC, Cornerstone Wealth Management, LLC, William Andrew Smith and Kimberly Ann Smith, Christopher Spence Cox and Beth Cox, and Nathaniel Barnhart and Lisa Barnhart
Mark Chester
LAW OFFICES OF MARK D. CHESTER, ESQ.
8360 E. Raintree Drive, Suite 140
Scottsdale, AZ 85260
5/26/2020

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