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1
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VERIFIED COMPLAINT
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EXTRACTED KEY WORDS
FRAUD FINANCIAL STATEMENTS ARIZONA AUDIT ACTS CHURCH VENTURES COMPLAINT ALO SENIOR MANAGEMENT NOTES RECEIVABLE17 MATERIALS OPINION ARIZONA CORPORATION COMMISSION RELIEF COMBINED FINANCIAL STATEMENTS TRANSACTIONS ALLEGATIONS SECURITIES RELATED PARTIES BFA BOARD CHRISTIAN FINANCIAL PARTNERS PLAINTIFFS UNQUALIFIED OPINIONS EVIG CONSUMER FRAUD ACT IRA TIMES ARTICLES COLLATERAL PURPORTEDLY SECURING PONZI SCHEME |
Janet Napolitano, Attorney General
1 Jennifer Boucek, #016129
Assistant Attorney General
2 LeRoy Johnson, #013889
Special Assistant Attorney General
3 Consumer Protection & Advocacy Section
1275 W. Washington
4 Phoenix, Arizona 85007
(602) 542-7721
5 Fax: (602) 542-4377
Attorneys for Plaintiffs
6 IN THE SUPERIOR COURT OF THE STATE OF ARIZONA
7 IN AND FOR THE COUNTY OF MARICOPA
8
9 STATE OF ARIZONA, ex rel. JANET )
NAPOLITANO, ATTORNEY GENERAL, AND ) NO. CV2001-001004
10 THE ARIZONA CORPORATION COMMISSION, ) )
11 Plaintiffs, ) VERIFIED COMPLAINT
AND APPLICATION FOR
12 v. ) INJUNCTIVE AND OTHER
) RELIEF
13 ARTHUR ANDERSEN, L.L.P., )
)
14 Defendant. ) )
15
For their Complaint, Plaintiffs, State of Arizona, ex rel. Janet Napolitano,
16 and the Arizona Corporation Commission allege as follows:
17 JURISDICTION AND VENUE
18
1. This action is brought under the Securities Act of Arizona, A.R.S. §
19 seq., and the Arizona Consumer Fraud Act, A.R.S. § 44-1521, et seq. Plaintiffs seek, among other
20 forms of relief, restitution, civil penalties, investigative expenses, costs, attorneys' fees,
21 ancillary relief to prevent and remedy the unlawful acts alleged in this Complaint.
22
2. The Defendant has transacted business within, through or from Maricopa
23 Arizona and elsewhere in Arizona at all material times.
24
3. The Defendant has caused events to occur in this State out of which the
25
26
1 are the subject of this Complaint arose.
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2
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NOTICE OF HEARING
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EXTRACTED KEY WORDS
FINANCIAL STATEMENTS AUDIT OPINION TRANSACTIONS COMBINED FINANCIAL STATEMENTS SECURITIES ARIZONA CHURCH VENTURES NOTES RECEIVABLE17 ALO SENIOR MANAGEMENT AUDIT WORK COMMISSION BFA SUBSIDIARIES ACCORDANCE SECURITIES ACT RELATED PARTIES CHRISTIAN FINANCIAL PARTNERS BFA BOARD ACCOUNTANTS ALLEGATIONS COLLATERAL PURPORTEDLY SECURING EVIG TIMES ARTICLES INDIVIDUAL RELATED PARTIES IRA OFFERING CIRCULAR PONZI SCHEME OFFICES LOCATED WORLDWIDE |
1 BEFORE THE ARIZONA CORPORATION COMMISSION
2 CARL J. KUNASEK
Chairman
3 JIM IRVIN
Commissioner
4 WILLIAM A. MUNDELL
Commissioner
5
6
7 IN THE MATTER OF: )
)
8 )
ARTHUR ANDERSEN L.L.P. ) DOCKET NO. S-03386A-00-0000
9 501 North 44th Street - 300 )
Phoenix, Arizona 85008 ) NOTICE OF OPPORTUNITY FOR A
10 ) HEARING REGARDING PROPOSED
Respondent. ) ORDER TO CEASE AND DESIST,
11 ) FOR RESTITUTION, FOR
) ADMINISTRATIVE PENALTIES AND
12 ) FOR OTHER RELIEF
)
13 )
14 NOTICE: ARTHUR ANDERSEN L.L.P. HAS 10 DAYS TO REQUEST A HEARING.
15 The Securities Division (the "Division") of the Arizona Corporation Commission (the
16 "Commission") alleges that Respondent Arthur Andersen L.L.P. ("ARTHUR ANDERSEN")
17 engaged in and/or aided and abetted acts, practices and transactions that constitute violations
18 A.R.S. § 44-1801 et seq., the Securities Act of Arizona (the "Securities Act").
19 The Division further alleges as follows:
20 I.
21 JURISDICTION
22 1. The Commission has jurisdiction over these matters pursuant to Article XV
23 Arizona Constitution and the Securities Act.
24 . . .
25 . . .
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3
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NOTICE OF HEARING AND COMPLAINT
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EXTRACTED KEY WORDS
BFA CHURCH VENTURES FINANCIAL STATEMENTS ALO AUDIT MCGRATH ARIZONA NET WORTH ASSETS ACCOUNTING RELATED PARTIES IRA OZER TRANSACTIONS CERTIFIED PUBLIC ACCOUNTANTS CERTIFICATE ACCORDANCE INVESTMENT MANAGEMENT WORKPAPERS PROFESSION PASSIVE TRUSTEE PUBLIC ACCOUNTING FIRM RELATED PARTY REAL ESTATE TREASURY REGULATIONS APPRAISALS IRA INVESTORS CTF |
1 BEFORE THE ARIZONA STATE BOARD OF ACCOUNTANCY
2 In the Matter of: )
3 Certified Public Accounting Firm )
Registration No. 964-B ) No. 98.230-ACY
4 Issued to: ))
5 ARTHUR ANDERSEN, L.L.P. )
6 )
In the Matter of: )
7 Certified Public Accounting )
Certificate No. 4669-R ) NOTICE OF
8 Issued to: ) AND COMPLAINT
9 )
JAY STEVEN OZER )
10 )
In the Matter of: )
11 Certified Public Accounting )
12 Certificate No. 5789-E )
Issued to: )
13 )
ANN M. McGRATH )
14 )
15 In the Matter of: )
Certified Public Accounting )
16 Certificate No. 8406-R )
Issued to: )
17 )
18 ALAN PROCTOR HAGUE )
)
19 YOU ARE HEREBY NOTIFIED that the Arizona State Board of Accountancy will conduct
20
a public hearing before an administrative law judge to determine whether good cause exists
21
22 suspend, or take any other disciplinary action against Certified Public Accountant Certificates
23 5789-E and 8406-R issued to Respondents Jay Steven Ozer, Ann M. McGrath, and Alan Proctor Hague,
24 respectively and Certified Public Accounting Firm Registration No. 964-B issued to Respondent
25 Andersen, L.L.P. The hearing will be conducted in accordance with A.R.S. § 32-743 and A.A.C.
26 114 and through the Office of Administrative Hearings, an independent agency. The hearing has
scheduled for 9:00 a.m. on January 22, 2001, at 1400 West Washington Street, Phoenix,
1 I. JURISDICTION
2 1. The Arizona State Board of Accountancy ("Board") is the agency authorized
3 A.R.S. § 32-701, et seq., to regulate the profession of certified public accountants in
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4
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ORDER TO CEASE & DESIST
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EXTRACTED KEY WORDS
INVESTMENT BFA SECURITIES NCV CFPI SUBSIDIARIES BUSINESS EXHIBIT SECURITIES ACT COMMISSION CONSENT PROCEEDING ORGANIZATION CHART CEASE AFFILIATES NON-PROFIT CORPORATION ARIZONA ATTORNEY SECURITIES DIVISION FINANCE VIOLATION BAPTISP CHURCH MARICOPA CAUSED EVENTS INVESTMENT PRODUCTS CONDUCTING FUNDS MANAGEMENT PURSUANT |
BEFORE THE ARIZONA CORPORATION COMMISSION
Arizona Corporation
Commission
POCKETED
LIAM A. biUNDELL AUG 121999
6
7
8
IN J-HE MATTER OF:
.
9 BAPTIST FOUNDATION OF ARIZONA; 1
) DOCKET.NO. S-2773i.-99-000
10 AJUZONA SOUTHERN BAPTISTNEW .
CHURCH VENTURES, INC.; and { DECISIONNO. 6 / &?/
11 1
CHRISTIAN FINANCIAL PARTNERS, INC. ) ORDER TO CEASE & DESIST
12 ) OTEER AF'FIMUTIVEACTION
) AND CONSENT TO SAME
13 Respondents. )
14 j
15
16 I.
f ,. BAPTIST FOUNDATION OF ARIZONA; ARJZONA SOUTHERN BAPTIST NFiW
18 CHURCH VENTURES,-INC.; and CHRIsTlAN FIkANCIAL PAR?NJZRS;
19 individually and collectively, pemxamntly waive their right to a hearing and appeabe
20 and 12 of the Securities Act of Arizona (@e "Act") with respect to tbis order to Cease and
* 21 Other Affhmtive Action ("Order"); admit the jurisdiction of the Axizona Corporation
22 f."titissibn~; and, without admitting or denying the kndings df Fact and
- 23 contained in this Ordeq consent to entry of this Order solely for the purpose of
24 proceeding, with the understanding that no part of this Order is to be considered an
25 or any other p033ihg.
26
II
. II
.I?
* . .
I' I
6.3
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