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Supreme Court Board of Legal Document Preparers
Arizona State Courts Building
1501 West Washington, Phoenix, AZ 85007
Conference Room 119
10:00 a.m. - 2:00 p.m.
January 31, 2005
Approved Meeting Minutes
Members Present: AOC Staff Present:
Judge Roland J. Steinle Linda Grau
Carol L. Wells Nina Preston
Donald F. Steward Lauren Hargrave
Nancy Swetnam David Stone
Margaret J. Kleinman
Mary Carlton Guests:
Vellia M. Pina Velia Hert
Dr. Roger E. Hartley Allen Merrill
J. Ward Sturm Stephanie Villalobos
Susan C. Vasquez Lisa Leon
Virlynn Tinnell Roy Warden
Michael Anderson
Glen Hadley
Call to Order
The meeting was called to order by Judge Roland J. Steinle at 10:07 a.m.
Review and Approval of Meeting Minutes
Regular Session Minutes from December 6, 2004.
Discussion was held regarding the regular session minutes of December 6, 2004.
Margaret J. Kleinman and Nancy Swetnam requested grammatical and clerical changes
be made to the minutes.
A motion was made by Nancy Swetnam and seconded by Mary Carlton to adopt
the regular session minutes of December 6, 2004, as amended. Motion passed.
LDP-05-001
Regular Session Minutes from December 16, 2004.
Discussion was held regarding the regular session minutes of December 16, 2004.
Margaret J. Kleinman and Nancy Swetnam requested grammatical and clerical changes
be made to the minutes.
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A motion was made by Margaret J. Kleinman and seconded by Nancy Swetnam
to adopt the regular session minutes of December 16, 2004, as amended. Motion
passed. LDP-05-002
Regular Session Minutes from December 20, 2004.
Discussion was held regarding the regular session minutes of December 20, 2004.
Margaret J. Kleinman and Nancy Swetnam requested grammatical and clerical changes
be made to the minutes. Nancy Swetnam requested the “Proposed Amendments to
December 20, 2004 Minutes” be incorporated.
A motion was made by Mary Carlton and seconded by Nancy Swetnam to adopt
the regular session minutes of December 20, 2004, as amended. Motion passed.
LDP-05-003
Administrative Issues
Introduction of LDP Program Investigator David Stone.
Linda Grau reported David Stone has begun employment with the Certification and
Licensing Division as the Legal Document Preparer Program Investigator. Mr. Stone has
many years experience in both the judicial and regulatory arenas.
Update and discussion regarding the status of the pending Petition for Cease and Desist
Order related to non-certificate holder Lisa Elwess, (aka Lisa Crocker).
Linda Grau reported the Court has requested the Arizona State Bar request an evidentiary
hearing or file a ‘Motion for Summary Judgment’.
Subcommittee report regarding Board roles and responsibilities.
The Board reviewed a document which represents the work done to date by the
subcommittee. The subcommittee consists of Dr. Roger Hartley, Mr. Ward Sturm, and
Ms. Nancy Swetnam. The subcommittee recommended the Board discuss the draft
proposal and provide comment that will assist it in preparing a final version for
consideration and adoption by the Board at its February meeting.
The Board discussed Section D(2) and noted the Board previously voted to require
members not miss more than two meetings per year. The Board reviewed examples of
language which could be utilized. The subcommittee recommended the Board change its
policy and adopt either the noted United Way or Board Guidebook sample language. The
Board discussed situations where it is difficult to attend meetings. The Board concurred
utilizing the Board Guidebook sample language.
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The Board discussed D(3) regarding the potential conflict of interest or the appearance of
a conflict of interest when a Board member accepts an award from the legal document
preparer profession or association. The subcommittee requested additional discussion
regarding the Board or Board members accepting awards.
The Board discussed D(4) regarding Board members and contractual arrangements. The
subcommittee wanted the Board to be aware of potential conflicts of interest in
contractual arrangements.
The Board discussed D(5) and whether the provision is too restricted. It is problematic
the way in which it is currently worded and more work needs to be done. The
subcommittee advised Board members referring services to other legal document
preparers may give the appearance of impropriety. The Board agreed Board members
should carefully consider the appearance of impropriety.
The Board discussed D(6) and whether Board members should serve simultaneously as
an officer of a professional association for legal document preparers. A prohibition
against such service could potentially be seen as unfair and impractical and not be viewed
as protecting the public.
The Board discussed E(2) and agreed the Board should appoint a Vice Chair.
The Board discussed E(3) involving the appointment of subcommittees. The Board
agreed either the Chair or the Board can establish subcommittees.
The Board discussed F(2) regarding a quorum. The subcommittee would like to know
whether a member with a proxy vote constitutes one member or two for the purpose of
establishing a quorum. Additionally, can a member carry more then one proxy at one
time? The Board agreed a quorum could not have more then one proxy and six present
individuals, whether telephonically or in person.
The Board discussed G(1) and whether it wants or needs the minutes to record the actual
vote, or just whether the motion carried. The subcommittee recommended adoption of a
provision that the minutes would reflect simply whether a motion passed or failed. The
Board agreed the minutes would reflect simply whether a motion passed or failed, with
the right provided to any Board member to request a recorded vote.
The Board discussed G(2)(a) & (b) regarding recusing from voting in different situations.
The Board discussed G(2)(d) regarding whether a Board member should leave the
meeting during discussion of issues the member has recused on. The subcommittee
recommended there is no need for the Board member to leave the meeting and that the
Board not adopt the provision requiring the member to identify the reason for the recusal.
The Board agreed.
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The Board discussed G(3) regarding proxies. The Board discussed (e) regarding the
number of times per year a member may designate a proxy. The subcommittee will work
on this issue.
The Board reviewed H and I. Any comments should be sent to the subcommittee so they
can incorporate them and finalize the document.
Review and discussion regarding possible future amendments (non-examination related)
to Arizona Code of Judicial Administration
'
7-208.
Linda Grau reported attorney Mark Harrison has submitted a letter to the Board
requesting the Board consider a future amendment to Arizona Judicial Code of
Administration ' 7-208 which would enable the program coordinator to extend deadlines
for requesting a hearing and filing of an answer of up to one week. Ms. Grau
recommended the Board acknowledge Mr. Harrison’s letter and comments. Future
program issues should be addressed by the subcommittee working on the revisions to
Arizona Judicial Code of Administration ' 7-208. The Board discussed the time
constraints outlined by the code and the requirement for holding an emergency Board
meeting if an extension is requested. The issue needs to be addressed with legal counsel.
The subcommittee is still working on issues and will bringing proposed changes to the
Board at a later date.
Virlynn Tinnell left the meeting.
Review and discussion of the pending State Bar of Arizona Petition to amend Arizona
Supreme Court Rule 31.
Linda Grau reported the Petition is currently posted for public comment. The petition
addresses a specific section of the existing Arizona Supreme Court Rule 31 and requests
the court amend the existing rule which states “no person shall practice law in this state
or hold himself out as one who may practice law in this state unless he is an active
member of the State Bar”. The proposed language would add a new subsection entitled
“restrictions on disbarred attorneys and member’s right to practice”. The proposed
subsection will add, “no member who is currently suspended or who is on disability
inactive state, or a former member who has been disbarred, shall practice law in this state
or represent in any way that he or she may practice law in this state”. The provision is
intended to eliminate anyone from qualifying to provide legal services under any of the
exemptions to Rule 31, such as becoming a legal document preparer. Ms. Grau
recommended the Board determine whether public comment from the Board is necessary.
The proposed amendment would have an impact on one certificate holder. If the proposal
is adopted it would mean the Board would not be able to grant certification to any
disbarred Arizona attorney, regardless of how long ago the disbarment occurred. An
alternative would be a provision that applies to all other categories in Rule 31, but not to
exemption 23, which allows for legal document preparers, so the Board could consider an
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applicant who falls under these guidelines. The Board has the option of filing a public
comment to the Court. The Board discussed making the strongest possible statement and
supplying specific language which could be used in the petition. The Board discussed the
need for the Board to preserve its independence and take into consideration, the many
reasons why an attorney has been disbarred, the rehabilitative conducted of an applicant,
and individual circumstances. Dr. Roger E. Hartley and J. Ward Sturm volunteered to
draft Board comment and bring it before the Board at the next scheduled Board meeting.
Virlynn Tinnell returned to the meeting.
Report regarding electronic renewal application process.
Linda Grau reported the program has been selected to participate as the model for an
electronic renewal process for the upcoming renewal period. There are numerous benefits
to electronic renewal, such as, significantly reducing the period of time a certificate
holder will need to spend preparing a renewal application, the elimination of program
costs for preparing, delivering, and distributing renewal applications to certificate
holders, and enabling a certificate holder to pay application fees online by credit card.
Additionally, it will have a significant impact on the costs associated with processing
payments through the AOC Finance Department. There would be administrative fees
associated with the use of credit card transactions, which would be incurred by the
program (not the certificate holders) but there will be a significant reduction compared to
current costs. Currently, the program is working with IT on the elements of the secure
web application. The program will still make hard copy applications available. Anyone
who chooses to apply electronically will need to have an active email address on file with
the program. Additionally, the program has been selected to be the first in the
Certification and Licensing Division to be placed on an electronic data management
system, which will enable the program to electronically capture and maintain all the
records related to document preparer files. The Board questioned how continuing
education documentation would be supplied to the program. Currently, the Arizona Code
of Judicial Administration ' 7-208 states the information must be submitted in writing.
Therefore, for this renewal certificate holders must submit the appropriate documentation
and the information will then be manually scanned into the data management system.
Executive Session #1
A motion was made by Judge Roland J. Steinle and seconded by Nancy Swetnam
to go into Executive Session to discuss records exempt by law or rule from public
inspection or for advice of counsel. Motion passed. LDP-05-004
Executive Session ended #1
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Certification and Eligibility
Judge Roland J. Steinle, Chair, reported the Board received a number of various
pleadings involving Hearing Officer Recommendation Reports. The Board received the
advice of counsel during executive session and there is no provision to accept the
pleadings. Pursuant to Arizona Code of Judicial Administration ' 7-208 (H)(12), (13) and
(14) requires all petitions for rehearing to go to the Hearing Officer and there is no
provision for the Board to hear those matters.
A motion was made by Judge Roland J. Steinle and seconded by Margaret J.
Kleinman to strike all of the pleadings received by the Board due to there being
no provision under Arizona Code of Judicial Administration ' 7-208 for the
Board to consider them. Motion passed. Nancy Swetnam recused. LDP-05-005
A motion was made by Judge Roland J. Steinle and seconded by Mary Carlton
due to fact the some pleadings involve review and discussion of Hearing Officer
recommendations, rather than wait for the Call to the Public at the end of the
meeting, if a member of the public, a certificate holder, or an applicant wishes to
be heard regarding the Hearing Officer’s recommendation report, the Board will
allow for five minutes of public comment at this stage in the meeting. Motion
passed. LDP-05-006
Review of Hearing Officer Michele Iafrate’s recommendation regarding the denial of
renewal of individual certification for Glen Hadley.
Glen Hadley addressed the Board and urged the Board not to adopt the Hearing Officer’s
recommendations. Mr. Hadley requested his individual initial renewal certification be
granted. Mr. Hadley stated the Hearing Officer’s recommendations relied on inaccurate
facts and conclusions. Mr. Hadley stated he did not have personal knowledge of the
matters involved in the denial, but that Rob Andrews does. With regards to Robert
Andrews he did not call Mr. Andrews as a witness. Mr. Hadley believes the hearing was
regarding a phone number. Following the hearing Mr. Hadley filed a Motion for
Rehearing so he could present Mr. Andrew as a witness to testify to the misconceptions.
Mr. Hadley stated the Hearing Officer untimely denied the Request for Rehearing.
Further, Mr. Andrew stated he filed a Motion to Supplement the Record in hopes the
facts would help the Board understand his position. Mr. Hadley stated he has no ties with
Why Pay a Lawyer and Mr. Andrew severed his association with Why Pay a Lawyer
several years ago. Mr. Hadley reported he works hard to prepare effective legal
documents and is honest, and has been honest in his application for certification.
The Board reviewed the filing timeframes. Mr. Hadley’s request for rehearing was
received on October 14, 2004 and filed on October 18, 2004. Hearing Officer Iafrate
issued her Order regarding denial of the rehearing on November 4, 2004. The Hearing
Officer was timely in responding to Mr. Hadley’s motion.
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A motion was made by Nancy Swetnam and seconded by Mary Carlton to adopt
the Hearing Officer’s report with the Findings of Fact, Conclusions of Law and
affirm the Board’s original denial of renewal of initial individual certification to
Glen Hadley. Motion passed. LDP-05-007
Review of Hearing Officer Patricia Shaler’s recommendation regarding the denial of
individual certification for Patricia Morgal.
The Board discussed Ms. Morgal answering “no” on her application in respect to having
any certificate or professional license denied, suspended, or revoked. On October 21,
2003, Ms. Morgal’s commission as a Notary was revoked by the Secretary of State. Ms.
Morgal applied for certification subsequent to her notary revocation.
A motion was made by Donald F. Steward and seconded by Dr. Roger E. Hartley
to adopt the Hearing Officer’s report with the Findings of Fact, Conclusions of
Law and affirm the Board’s original denial of initial individual certification to
Patricia Morgal. Motion passed. LDP-05-008
Review of Hearing Officer Craig Tindall’s recommendation regarding the denial of
renewal of individual certification of Jace Gaston.
Review of Pending Complaints
Review of Hearing Officer Craig Tindall’s recommendation report regarding Jace
Gaston and LDP Program complaint numbers 03-L007 and 03-L008.
Linda Grau clarified there were two separate agenda items related to Jace Gaston, one
regarding her denial of renewal of initial individual certification (LDP 2004-014), and
one regarding LDP complaint #03-007 and #03-008. The Board discussed the Hearing
Officer’s recommendations. The grounds for denial of renewal certification were based
on Arizona Code of Judicial Administration ' 7-208 (E)(5)(b)(1)(c) material
misrepresentation in the application process, and Arizona Code of Judicial
Administration ' 7-208 (E)(5)(b)(1)(g) the applicant being subject to revocation or
suspension of a certificate pursuant to ' 7-208, or has had any occupational license
denied, revoked, or suspended.
A motion was made by Judge Roland J. Steinle and seconded by Mary Carlton to
adopt the Hearing Officer’s report with the Findings of Fact, Conclusions of Law
and revoke certificate #80424, Jace Gaston, pursuant to Arizona Code of Judicial
Administration ' 7-208 (H)(15)(a)(6). Nancy Swetnam recused. LDP-05-009
A motion was made by Judge Roland J. Steinle and seconded by J. Ward Sturm
that Jace Gaston shall pay investigative costs, reporter costs and costs of staff time
based upon hourly wage rates related to the investigation and processing of
complaints #03-007 and #03-008. Nancy Swetnam recused. LDP-05-010
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A motion was made by Judge Roland J. Steinle and seconded by Susan C.
Vasquez pursuant to Arizona Code of Judicial Administration ' 7-208
(H)(15)(a)(5) that Jace Gaston immediately cease and desist from providing legal
document preparation services requiring legal document preparer certification to
the public or any other person. Nancy Swetnam recused. LDP-05-011
A motion was made by Judge Roland J. Steinle and seconded by Donald F.
Steward to adopt the Hearing Officer’s report with the Findings of Fact,
Conclusions of Law and affirm the Board’s earlier denial of renewal of initial
individual certification to Jace Gaston. Motion passed. LDP-05-012
Review of Hearing Officer David Pennartz’s recommendation report regarding Rose
Quintero and LDP Program complaint number 03-L009.
A motion was made by Virlynn Tinnell and seconded by Susan C. Vasquez to
adopt the Hearing Officer’s report with the Findings of Fact, Conclusions of Law
and affirm the Board’s previous order regarding Rose Quintero. Nancy Swetnam
recused. LDP-05-013
A motion was made by Margaret J. Kleinman and seconded by Virlynn Tinnell
that Rose Quintero shall pay investigative costs, reporter costs and costs of staff
time based upon hourly wage rates related to the investigation and processing of
complaint #03-009. Nancy Swetnam recused. LDP-05-014
A motion was made by Virlynn Tinnell and seconded by Dr. Roger E. Hartley
pursuant to Arizona Code of Judicial Administration ' 7-208 (H)(15)(a)(5) that
Rose Quintero immediately cease and desist from providing legal document
preparation services requiring legal document preparer certification to the public
or any other person. Nancy Swetnam recused. LDP-05-015
Review of Hearing Officer Richard Goldsmith’s recommendation report regarding Allan
Sobol and Quick and Legal Paralegal Services and LDP Program complaint numbers
03-L003, 04-L009, and 04-L024.
The Board discussed complaint numbers 03-L003, 04-L009, and 04-L024 and the
Hearing Officer’s recommendation report. The Hearing Officer did not make a
recommendation regarding specific disciplinary sanctions. The Board discussed issuing a
Letter of Concern regarding Mr. Sobol’s role as a business owner and issues regarding
trainees under his supervision. The Board discussed having Mr. Sobol demonstrate his
compliance with regards to trainees and noted Ms. Carrie Stoner needs to make
application to the legal document preparer program if assisting in the preparation of legal
documents. The Board discussed assessing costs for the investigation and that Mr. Sobol
obtain further continuing education training within sixty days. Further, the Board
discussed placing a restriction on Mr. Sobol’s certificate restricting him from having
trainees under his employment. If Ms. Stoner does not apply for certification and
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continues to prepare documents as an individual or a trainee, it will be an unauthorized
practice of law issue.
A motion was made by Judge Roland J. Steinle and seconded by Dr. Roger E.
Hartley to adopt the Hearing Officer’s report with the Findings of Fact,
Conclusions of Law and issue a Letter of Concern involving the conduct the
Hearing Officer found to be in violation of the Arizona Code of Judicial
Administration ' 7-208. Nancy Swetnam, Donald F. Steward, and J. Ward Sturm
recused. LDP-05-016
A motion was made by Judge Roland J. Steinle and seconded by Margaret J.
Kleinman to require Mr. Sobol to do an additional 5 hours of continuing
education to be completed within the next 60 days. Nancy Swetnam, Donald F.
Steward, and J. Ward Sturm recused. LDP-05-017
A motion was made by Judge Roland J. Steinle and seconded by Virlynn Tinnell
that Allan Sobol shall pay investigative costs, reporter costs and costs of staff time
based upon their hourly rate related to complaints #03-003 and #04-009, Nancy
Swetnam recused. LDP-05-018
Certification and Eligibility (Continued)
Review and recommendations regarding Continuing Education course credit requests.
The Board discussed a request which involved approving credit for a class which was
attended in May of 2004, with credit to be applied toward the current certificate period
continuing education requirement. In the past, and consistent with the continuing
education policy, Linda Grau recommended the Board deny the request. The Board
reviewed the continuing education policy which does not clearly define a year as being
from July 1
st
to June 30
th
. This is the first request to backdate credit, other requests for
credit, for events outside the certificate period have previously been denied. However, the
Board deferred consideration of some renewals until individuals obtained continuing
education, which was outside the certificate period. A change to ACJA § 7-208 should be
considered to clarify the period in which continuing education should be obtained. Linda
Grau reported there may be an administratively burdensome renewal process by
addressing the same requests for other certificate holder continuing education issues.
A motion was made by Judge Roland J. Steinle and seconded by Donald F. Steward
to approve the request for approval of credit for the class which was attended in May
of 2004 for 2005 Renewal. Motion Passed. Mary Carlton recused. LDP-05-019
The following list of events were submitted for Board approval of continuing education
credit. The Board discussed various continuing education opportunities. After the
discussion Linda Grau recommended these courses be approved for the noted hours of
credit.
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1. “Drafting LLC and LLP Agreements in Arizona” presented by the National
Business Institute – 5 hours
2. “How to Protect Yourself and Your Clients” presented by Securities America
(on-line) – 1 hour.
3. “Resolving Client Tax Liabilities” presented by Richard Pooley & Associates
– 3 hours tax related.
4. “CCH Federal Tax Course” presented by the Arizona Society of Practicing
Accountants – 5 hours.
5. “Basic Mechanics’ Lien Law” presented by BICA Educational Seminars – 5
hours.
6. “Money Laundering” presented by Securities America (on-line) – 1 hour.
7. “Variable Annuity Stability” presented by Securities America (on-line) – 1
hour.
8. “10 Most Costly Errors in Divorce” presented by Divorce Dollars & Sense,
LLC – 1.5 hours.
9. “Representing Yourself in Court” presented by the Superior Court in
Coconino County – 1 hour.
10. “Current Issues in Arizona Probate” presented by Professional Education
Systems Institute, LLC – 5 hours.
11. “LDP Exam Overview” presented by Arizona CLDP Legal Seminar Group –
4 hours, including 1 hour of ethics.
12. “Justice Court 101” presented by the Superior Court in Maricopa County – 1.5
hours.
A motion was made by Virlynn Tinnell and seconded by Judge Roland J. Steinle to
approve the above listed continuing education courses for the recommended hours.
Motion Passed. Susan C. Vasquez recused from #11. LDP-05-020
Status Report Regarding 2005 Examination
Status Update on 2005 LDP examination development process.
Linda Grau reported the process of the focus groups has been completed through to the
point that the process will allow for presentation of two forms of the exam. Upon
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approval of examination content specifications, a study guide will be published and a cut
score will be determined.
Review and discussion of proposed revisions (related to the 2005 examination) to
Arizona Code of Judicial Administration
'
7-208.
Linda Grau reported a Public Announcement was issued on January 11
th
, and the
program has received comments which were prepared for the Board’s review and
consideration. The Board reviewed Dr. Hertz’s letter regarding the examination process
and test security. The Board reviewed an inquiry regarding an individual not taking the
exam in the required timeframe and the result it would have on that certificate holder.
Nancy Swetnam reported there have been individuals who have written to the Court
requesting a hearing. However, the proposed revision is not a Rule 28 procedure and
there is no provision for a hearing before the Court. The revision process is governed by
Arizona Code of Judicial Administration ' 1-201, which states anyone can initiate a
proposal by submitting the proposal to the Administrative Director, Dave Byers. The
Administrative Director then sends the proposal to the Arizona Judicial Council.
Comments on the revision can be in writing. All meetings involving the proposal
including the Committee on Superior Courts, the Limited Jurisdiction Court Committee,
and the Arizona Judicial Council are public meetings. Once the proposal is reviewed by
the Arizona Judicial Council, a recommendation will be forwarded to the Court. During
the review process the proposal can be amended. None of the public comments have
addressed the onset of standard certification being deferred to July 1, 2006. The Board
discussed the timeframe available for certificate holders to have and utilize the proposed
study guide. The Committee on Superior Court is meeting Friday, February 25, 2005 in
Conference Room 345A/B at 10:00 a.m., and the Committee on Limited Jurisdiction
Courts meeting is Wednesday, March 2, 2005 in Conference Room 230 at 10:00 a.m. The
Board discussed the process and the adoption or rejection of amendments. Additionally,
the Arizona Judicial Council can make amendments. The Court can make further
amendments to the proposal.
Nancy Swetnam left the meeting.
Review of Pending Complaints (Continued)
Review and discussion regarding non-certificate holder cease and desist petition
pursuant to Arizona Code of Judicial Administration
'
7-208 (H)(1)(c).
Linda Grau reported on two separate occasions a denied applicant, Cicero Cast’On, has
testified, under oath, that despite being denied certification three times, he continues to
prepare documents on behalf of third parties. Linda Grau recommended the Board
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appoint a Hearing Officer as allowable by Arizona Code of Judicial Administration ' 7-
208 (H)(1)(c) to proceed with a petition for a Cease and Desist Order. The Board
discussed filing a cease and desist action in superior court. Ms. Grau reported the
timelines of the process to file in Superior Court may not be as expeditious as appointing
a Hearing Officer. The Board noted the Superior Court has the power to initiate a
contempt proceeding if a Cease and Desist Order is ignored.
A motion was made by Judge Roland J. Steinle and seconded by J. Ward Sturm
to refer the above discussed matter involving Cicero Cast’On to the Superior
Court through a petition Cease and Desist Order. Virlynn Tinnell recused. LDP-
05-021
Review of Certification Applications
Linda Grau reported the following applicants for initial individual and business entity
certification have demonstrated they meet the minimum eligibility requirements, the
applications are complete, and no information contrary to eligibility for certification was
presented during the background review. It was recommended certification be granted to:
Hallie Marr
Miranda Buono-Kashou
Continental Recovery Services
Celia Barotz
Saundra O’Day
Angela Eastlack
Mary Marcus
Sharon Cooper
Lucia Encinas
A motion was made by Judge Roland J. Steinle and seconded by Margaret J.
Kleinman to grant Initial Individual and Business Entity Certification to the
applicants listed above. Motion passed. LDP-05-022
Linda Grau reported Michael Disney disclosed numerous civil and criminal matters. Ms.
Grau recommended the Board review the documentation submitted by Mr. Disney and
determine whether additional information is needed. The Board questioned one case
which Mr. Disney indicated resulted in a stipulated judgment. The judgment was later
discharged in bankruptcy. The Board would like additional information regarding the
relative dates and the details of the case.
Michael Disney
A motion was made by J. Ward Sturm and seconded by Virlynn Tinnell to defer
consideration of Initial Individual Certification of the applicant listed above until
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the February Board Meeting pending the receipt of additional information.
Motion Passed. LDP-05-023
Linda Grau reported Deanne Cywinski disclosed involvement in numerous criminal and
civil cases. Ms. Grau recommended the Board review the documentation submitted by
Ms. Cywinski and determine whether additional information is needed. Linda Grau
reported two criminal cases involved the issuance of bad checks in 1997 and both cases
were ultimately dismissed. Additionally, there is another civil pending matter. The Board
reviewed the documentation provided.
Deanne Cywinski
A motion was made by Margaret J. Kleinman and seconded by Virlynn Tinnell to
grant Initial Individual Certification to the applicant listed above. Motion passed.
LDP-05-024
Linda Grau reported Roy Warden is present and has additional documents to present to
the Board related to actions in Tucson. Ms. Grau recommended certification be granted to
Mr. Warden.
Roy Warden
A motion was made by Dr. Roger E. Hartley and seconded by J. Ward Sturm to
grant Initial Individual Certification to the applicant listed above. Motion passed.
LDP-05-025
Linda Grau reported late on Friday she received a packet from Eric Scott Schoeller
containing court documents and records relating to various issues previously addressed
by the Board. Mr. Schoeller has been very conscientious in responding to the Board’s
requests for more information. Ms. Grau recommended the Board defer the matter to the
February meeting to allow for a thorough review of the extensive documentation
presented.
Eric Scott Schoeller
A motion was made by Virlynn Tinnell and seconded by Dr. Roger E. Hartley to
defer consideration of Initial Individual Certification of the applicant listed above
until the February Board Meeting. Motion Passed. LDP-05-026
Linda Grau reported Michael Anderson, designated Principal for Financial Strategies,
Inc. is requesting certification. The Board discussed needing information from the other
party in a NASD pending matter. Ms. Grau has been unable to obtain additional
information due to the fact that the matter is still in litigation. Ms. Grau reported no
additional employees or trainees were listed for the company.
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Michael Anderson
Financial Strategies, Inc.
A motion was made by Mary Carlton and seconded by J. Ward Sturm to grant
Initial Individual and Business Entity Certification to the applicants listed above.
Motion passed. LDP-05-027
Linda Grau recommended the Board address the business entity application of Granite
Gavel, LLC in a manner consistent with the designated principal’s (Glen Hadley)
individual denial.
Granite Gavel, LLC
A motion was made by Judge Roland J. Steinle and seconded by Mary Carlton to
deny Initial Business Entity Certification to Granite Gavel, LLC. Motion passed.
LDP-05-028
The Board reviewed material for Roadrunner Ridge Enterprises, LLC, Debra Pope, and
Miles Fisher. Ms. Grau recommended the Board defer certification determination to the
February meeting to obtain additional information.
Roadrunner Ridge Enterprises, LLC
Debra Pope
Miles Fisher
A motion was made by Judge Roland J. Steinle and seconded by Donald F.
Steward to defer consideration of Initial Individual and Business Entity
Certification of the applicants listed above until the February Board Meeting.
Motion Passed. LDP-05-029
Linda Grau recommended the Board deny certification of Javier Flores pursuant to
Arizona Code of Judicial Administration ' 7-208 (E)(5)(b)(1)(c) for failure to disclose
the earlier denial of a legal document preparer certification application. It was further
recommended the Board send an advisory letter to Mr. Flores requesting he cease and
desist from identifying himself as a certified legal document preparer.
Javier Flores
A motion was made by Judge Roland J. Steinle and seconded by J. Ward Sturm
to deny Initial Individual Certification of Javier Flores pursuant to Arizona Code
of Judicial Administration ' 7-208 (E)(5)(b)(1)(c) for failure to disclose the
earlier denial of a legal document preparer certification application. Motion
passed. Donald F. Steward and Vellia M. Pina recused. LDP-05-030
A motion was made by Judge Roland J. Steinle and seconded by Mary Carlton to
send an advisory letter to Mr. Flores requesting he cease and desist from
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identifying himself as a certified legal document preparer. Motion passed. Donald
F. Steward and Vellia M. Pina recused. LDP-05-031
Linda Grau recommended the Board grant the following request for 2005 certification
period business entity exemption. The designated principal for this entity has made an
affidavit as to its qualification for exemption:
Financial Strategies, Inc.
Andrew C. Sarager, CPA, PC
A motion was made by Margaret J. Kleinman and seconded by Mary Carlton to
grant Business Entity Exemption to the applicant listed above for the 2005
certification period based on documentation provided showing it meets all
qualifications for Business Entity Exemption. Motion passed. LDP-05-032
Linda Grau recommended the Board defer the following request for 2005 certification
period business entity exemption until the February meeting.
Roadrunner Ridge Enterprises, LLC
A motion was made by Judge Roland J. Steinle and seconded by Mary Carlton to
defer Business Entity Exemption to the applicant listed above for the 2005
certification period to the February meeting. Motion passed. LDP-05-033
Executive Session #2
A motion was made by Judge Roland J. Steinle and duly seconded to go into
Executive Session to discuss records exempt by law or rule from public inspection
or for advice of counsel. Motion passed. LDP-05-034
Executive Session ended #2
Review and Approval of Meeting Minutes (Continued)
Executive Session Minutes from December 6, 2004.
A motion was made by Judge Roland J. Steinle and seconded by Mary Carlton to
adopt the executive session minutes of December 6, 2004, as amended during
executive session. Motion passed. LDP-05-035
Executive Session Minutes from December 20, 2004.
A motion was made by Judge Roland J. Steinle and seconded by Mary Carlton to
adopt the executive session minutes of December 20, 2004, as amended during
executive session. Motion passed. LDP-05-036
Page 16 of 16
A motion was made by Judge Roland J. Steinle and seconded by Dr. Roger E.
Hartley to authorize program staff to initiate complaints in the matters discussed
during executive session. Motion passed. Donald F. Steward, J. Ward Sturm, and
Vellia M. Pina recused. LDP-05-037
Call to the Public
There was no response.
Adjourn
A motion was made by Judge Roland J. Steinle and seconded by Mary Carlton to
adjourn. Motion passed. LDP-05-038
The meeting of the Board of Legal Document Preparers adjourned at 2:50 p.m.