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EASTERN VANGUARD FOREX, LTD. v. ARIZONA CORP. COM'N

No. 1 CA-CV 01-0476.

79 P.3d 86 (2003)

206 Ariz. 399

EASTERN VANGUARD FOREX, LTD.; Eastern Vanguard Group Limited; K. (David) Sharma; Sammy Lee Chun Wing; Peter Suen Suk Tak; Michael E. Cho; To Fai Cheng; Jean Yuen; Wing Ming Tam and Guo Quan Zhang, Plaintiffs-Appellees, Cross-Appellants, v. ARIZONA CORPORATION COMMISSION, an administrative agency of the State of Arizona, Defendant-Appellant, Cross-Appellee.

Court of Appeals of Arizona, Division 1, Department B.

October 30, 2003.

Attorney(s) appearing for the Case

Roshka Heyman & DeWulf, PLC, By Alan S. Baskin, Phoenix, Attorneys for Plaintiffs-Appellees/Cross-Appellants.

Terry Goddard, Attorney General, By Kathleen Coughenour DeLaRosa, Special Assistant Attorney General and Moira A. McCarthy, Assistant Attorney General, Phoenix, Attorneys for Defendant-Appellant/Cross-Appellee.

OPINION

HALL, Judge.

¶ 1 This is an appeal and a cross-appeal from the superior court's partial affirmance and partial reversal of an Arizona Corporation Commission (Commission) decision. The Commission appeals from the superior court's reversal of its finding of "control liability" under the Arizona Securities Act1 as to three individuals—To Fai Cheng (Cheng), Jean Yuen (Yuen), and K. David Sharma (Sharma).

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