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Securities Division Speaks
Original Program Date :
An overview of the Securities Division of the Arizona Corporation Commission. Learn about:
- Registration of dealers, salesmen and securities, licensing of Investment advisors and Investment Advisor Representatives,
- How the Enforcement Section works, its authority, investigation and litigation, and
- Appeals and collections of Commission Decisions.
Faculty
Mark Dinell, Director, Arizona Corporation Commission Securities Division
Paul Kitchin, Director of Enforcement, Arizona Corporation Commission Securities Division
Meg Hinchey, Chief Investigator, Arizona Corporation Commission Securities Division
Paul Huynh, Director of Registration and Compliance, Arizona Corporation Commission Securities Division
Ron Raimondi, Chief Financial Institutions Examiner, Arizona Corporation Commission Securities Division
Chairpersons
Paul J. Roshka, Esq., Jennings Haug Keleher McLeod*
Wendy Coy, Assistant Director, Arizona Corporation Commission Securities Division*
* Also serving as a panelist.
Pertitent Publication Available Through the State Bar: Arizona Securities Law: Civil Liability, Defenses, and Remedies, 6th Ed. 2021
Mark Dinell, Director, Arizona Corporation Commission Securities Division
Mark Dinell is the Director of the Arizona Corporation Commission’s Securities Division. He has been with the Securities Division since 1998, beginning as an enforcement attorney. He became Assistant Director in 2005, prior to moving to his present position in 2019. He received his law degree from the University of California College of Law, San Francisco in 1986. After practicing in Los Angeles for several years, he moved to Arizona in 1988 where he spent ten years in private practice specializing in business and securities litigation until he joined the Commission. He has worked on regulatory initiatives with NASAA as well as in the state of Arizona. He has often spoken to industry and professional groups on trends and issues in securities law.
Paul Sehman Kitchin, Director of Enforcement, Arizona Corporation Commission Securities Division
Paul Kitchin is a graduate of Cornell University Law School and began his legal career in 2006. Since 2015, Paul has worked at the Arizona Corporation Commission’s Securities Division, first as an as an enforcement attorney and now as its Director of Enforcement.
Meg Hinchey, Chief Investigator, Arizona Corporation Commission Securities Division
Meg Hinchey serves as the Chief Investigator for the Arizona Corporation Commission, Securities Division. Meg joined the Commission in May of 2019, after a lengthy career in law enforcement and investigations that began in 1998 and has included investigations related to public corruption, organized crime and major financial fraud. She has served at the local, state and federal levels of law enforcement during this time and has earned the Certified Economic Crime Forensic Examiner designation. She earned a Bachelor of Science degree and a Bachelor of Arts degree from Arizona State University as well as a Master of Business Administration in Criminal Justice Administration degree from Trident University International. Meg currently serves on the North American Securities Administrators Association’s (NASAA) Enforcement Training Project Group Committee which plans, prepares and facilitates multiple training programs for the NASAA members.
Phong T Huynh, Director of Registration & Compliance, Arizona Corporation Commission Securities Division
Phong (Paul) Huynh is currently the Director of Registration & Compliance at the Arizona Corporation Commission, Securities Division. Since 2008, Paul’s duties at the Commission covers multiple areas, including investigating and prosecuting securities fraud violators, overseeing the Division’s registration and licensing program, supervising the examination unit, conducting rulemaking and legislation, and handling related appellate matters. Prior to joining the Commission, Paul’s career experience includes prior registration as a securities salesman, prosecuting criminal offenses as a Deputy County Attorney with the Maricopa County Attorney’s Office, and serving as Legal Counsel for a real estate development company. Paul received his Bachelor of Science degree in Finance, summa cum laude, from Arizona State University and his Juris Doctorate degree from the University of Arizona.
Ron Raimondi, Chief Financial Institutions Examiner, Arizona Corporation Commission Securities Division
Ron Raimondi is the Chief Financial Institutions Examiner with the State of Arizona Corporation Commission - Securities Division.
Prior to joining the Securities Division in November of 2015, Ron was in the financial industry for 15 years, 11 of which, he served in the capacity of a Senior Broker, Problem Resolution Associate and Brokerage Trainer at the Vanguard Group, Brokerage Services Division. His duties at Vanguard included but were not limited to trading Stocks, Bonds, Mutual Funds, ETFs and Options in High-Net-Worth Cash, Margin and Short Account(s) along with the processing of all types of in kind and cash transfers, the opening and closing of Brokerage Accounts and the oversight and presentation of all Brokerage Training and Series 7 and Series 66 licensure modules.
Prior to Vanguard, Ron was also a Financial Adviser at Waddell and Reed and Lincoln Financial Advisers.
Before he began working in the Financial Industry, Ron spent 4 years as the Chief Medical Investigator with the Maricopa County Office of the Medical Examiner in Phoenix, AZ and 7 years as a Senior Deputy Coroner with the Allegheny County Coroner’s Office in Pittsburgh, PA.
Ron earned a Bachelor of Science Degree in Administration of Justice with a Business Law Emphasis from The Pennsylvania State University.
Wendy L Coy, Director of Enforcement, Arizona Corporation Commission Securities Division
Wendy Coy is the Assistant Director of Securities of the Arizona Corporation Commission. In 1990, Ms. Coy started her career with the Securities Division as an Enforcement attorney. In 2015, she became the Director of Enforcement. In 2019, Ms. Coy was promoted to her current Assistant Director position.
Prior to the Securities Division, Ms. Coy was a consumer fraud investigator with the Minnesota Attorney General’s office. Ms. Coy graduated from ASU with a BS in Justice Studies and obtained her JD from William Mitchell College of Law (now Mitchell Hamline School of Law) in St. Paul, Minnesota.
Prior to the Securities Division, Ms. Coy was a consumer fraud investigator with the Minnesota Attorney General’s office. Ms. Coy graduated from ASU with a BS in Justice Studies and obtained her JD from William Mitchell College of Law (now Mitchell Hamline School of Law) in St. Paul, Minnesota.
Paul J Roshka, Jr, Partner, Jennings Haug Keleher McLeod LLP
Paul Roshka is a Partner in the Phoenix office of Jennings Haug Keleher McLeod Waterfall LLP. He began his career as a prosecutor with the Connecticut Office of the Chief State’s Attorney where he prosecuted securities fraud cases. Four years later he accepted a position with the Arizona Securities Division. During his seven years with the Securities Division, he served as the Director of Enforcement and the Assistant Director of the Division. Since leaving the Division, he has prosecuted and defended commercial litigation cases, with an emphasis on securities litigation, arbitration and mediation. Paul regularly represents individuals and companies under investigation by the SEC, FINRA, the Securities Division and other federal and state agencies. He has taught classes on white collar crime, organized crime and corporate crime in undergraduate and graduate programs at Arizona State University. Paul has also chaired and been a panelist on several State and Maricopa Bar CLE programs. He serves as a AAA arbitrator and as a mediator. He received his bachelor’s degree from St. Joseph’s in Philadelphia and his law degree from the University of Connecticut School of Law.
