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S-21113A-20-0233

Richard A. Smart et al.


Securities

Cease & Desist

Open

7/27/2020

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.

20-0233

 
Filing Date
Description Filed By Filed For Document Details PDF
8/5/2020 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service William Woerner (Richard A. Smart) Securities Division
8/5/2020 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service William Woerner (Smart Acquisitions LLC) Securities Division
8/5/2020 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service William Woerner (Smart Enterprises, LLC) Securities Division
8/5/2020 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service William Woerner (Simply Smart Homes, LLC) Securities Division
7/27/2020 Securities Division - Notice of Opportunity Mark Dinell, Director Securities Division

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Case Staff
Name Area Assigned
Mark Preny Hearing 8/3/2020
Michael Shaw Securities 8/5/2020
William Woerner Securities 8/5/2020
 
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
7/27/2020 SecDivServicebyEmail@azcc.gov

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