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S-21106A-20-0173

Richard D. Saba; Saba Tooth Tiger, LLC d/b/a Saba Investments


Securities

Securities - General

Open

6/2/2020

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

20-0173

 
Filing Date
Description Filed By Filed For Document Details PDF
9/10/2020 Transcript - Securities Coash & Coash
8/27/2020 Procedural Order - Sets a Hearing Brian D. Schneider, Administrative Law Judge Hearing Division
8/24/2020 Stipulation Randy Nussbaum, Atty. Richard D. Saba Jr. and Saba Tooth Tiger, LLC
8/18/2020 Notice of Appearance Randy Nussbaum, Atty. Respondents/s/
8/11/2020 Transcript - Securities Coash & Coash
8/11/2020 Procedural Order - Sets a Pre-Hearing Brian D. Schneider, Administrative Law Judge Hearing Division
8/3/2020 Securities Division Motion/Request - Miscellaneous Michael Shaw, Atty. Securities Division
7/7/2020 Procedural Order - Regarding Consent to Email Service Brian D. Schneider, Administrative Law Judge Hearing Division
7/7/2020 Procedural Order - Sets a Pre-Hearing Brian D. Schneider, Administrative Law Judge Hearing Division
6/16/2020 Securities Division Request for Hearing Toni Brown Richard D. Saba, Jr.
6/9/2020 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service Toni Brown (Richard D. Saba, Jr.) Securities Division
6/2/2020 Securities Division - Notice of Opportunity Mark Dinell, Director Securities Division

No decisions found associated with this docket.

 
Location Type Date Time Completed Details Download Outlook Calendar
Telephonic Telephonic Pre-hearing Conference 7/16/2020 1:00 PM
Telephonic Telephonic Pre-hearing Conference 8/19/2020 1:00 PM
N/A Hearing 3/2/2021 10:00 AM
N/A Hearing 3/3/2021 9:00 AM
N/A Hearing 3/4/2021 9:00 AM
N/A Hearing 3/5/2021 9:00 AM
Case Staff
Name Area Assigned
Michael Shaw Securities 6/5/2020
Toni Brown Securities 6/5/2020
Brian Schneider Hearing 6/9/2020
 
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
6/2/2020 SecDivServicebyEmail@azcc.gov
Richard Saba, Jr.
Saba Tooth Tiger, LLC
Randy Nussbaum
SACKS TIERNEY P.A.
4250 N. Drinkwater Blvd. Fourth Floor
Scottsdale, AZ 85251
8/18/2020

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