2022A-10867-CHC-ROC Notice of Hearing and Packet MAILED

2022A-10867-CHC-ROC · Registrar of Contractors · 2023-10-02

REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

Steven wade , Case No. 2022-10867 COMPLAINANT, Docket No. 2022A-10867-CHC-ROC v. NOTICE OF HEARING ON Horton Enterprises LLC CONTESTED CASE DBA:D&D Construction & Home Improvement License No. ROC 309645, RESPONDENT.

This Notice of Hearing is issued under A.R.S. § 41-1092.05(D). HEARING INFORMATION The hearing is set for: November 14, 2023 1:00 PM Sondra Vanella Google Meet. A link will be provided directly from The Office of Administrative Hearings. Go to www.azoah.com to request to appear in-person.

If you have requested to appear in-person at the hearing, the hearing will be held at 1740 W Adams Street, Phoenix, AZ 85007.

You must attend this hearing. This is an adversarial hearing before an administrative law judge, and is conducted in a similar manner as judicial proceedings. Thus, you must be prepared to present evidence, including witness testimony and documents, in support of your case.

STATEMENT OF LEGAL AUTHORITY AND JURISDICTION The State of Arizona has determined that the licensing and regulation of construction

contractors is a proper state function, and has vested authority in the Registrar of Contractors

to administer Title 32, Chapter 10 of the Arizona Revised Statutes. A.R.S. §§ 32-1101 et seq.

All hearings for alleged violations of Title 32, Chapter 10 are conducted under Title 41,

Chapter 6, Article 10. A.R.S. § 32-1156.

The statutes and rules governing the hearing can be found at: Arizona Revised

Statutes §§ 41-1092 to -1092.12, and Arizona Administrative Code R2-19-101 to -122.

PARTICULAR ARIZONA STATUTES AND RULES INVOLVED The statutes and rules the Respondent is alleged to have violated are cited in the

complaint and citation, which were served on the Respondent on August 30, 2023.

SHORT AND PLAIN STATEMENT OF THE MATTERS ASSERTED The complaint and citation allege that the Respondent committed the following act(s):

Charge: 1 A.R.S. § 32-1154(A)(3) - R4-9-108(a) Charge: 2 A.R.S. § 32-1154(A)(3) - R4-9-108(b) Charge: 3 A.R.S. § 32-1154(A)(22)

THE PARTIES TO THE ADMINISTRATIVE HEARING Because Respondent is a licensee and is charged with an act(s) or omission(s) that is cause for the suspension or revocation of a license, Respondent is a party to this case and will be a party to the hearing. Because Complainant alleged Respondent committed an act(s) or omission(s) that is cause for the suspension or revocation of a license, Complainant is a party to this case and will be a party to the hearing. Respondent and Complainant, as the parties to the hearing, will present evidence and argument to the administrative law judge.

The Registrar’s assigned investigator will appear as a witness at the hearing. RIGHT TO BE REPRESENTED The parties to the administrative hearing may choose to be represented by an attorney. A.R.S. § 41-1092.07(B). If one of the parties is a company, the company may be represented by an officer or employee if that person satisfies the conditions set forth in A.R.S. § 32- 1156(B). CHANGE OF ADDRESS Each party must inform the Registrar and the Office of Administrative Hearings of any change of address within five (5) days of the change. A.R.S. § 41-1092.04. HEARING PROCEDURES AND RULES The administrative hearing will be conducted in accordance with A.R.S. §§ 41-1092 to -1092.12, and A.A.C. R2-19-101 to -122. The parties should review the statutes, rules, and processes governing the administrative hearing. Copies of the statutes, rules, and articles regarding the administrative hearing process can be found at https://www.azoah.com/.

REGISTRAR’S APPEARANCE BY VIDEO CONFERENCE OR TELEPHONE

The Registrar’s investigators, employees, and attorneys will appear at the hearing via

video conference or telephone unless requested by a party to appear in-person. Requests for

the Registrar’s investigators, employees, or attorneys to appear in-person must be filed with

the Registrar and the Office of Administrative Hearings no later than seven (7) calendar days

prior to the hearing date.

HEARING PACKET In the interests of administrative efficiency, the Registrar compiles and discloses

certain documents to the parties and the Office of Administrative Hearings. These documents

are attached to this Notice of Hearing as the “Hearing Packet.” If any party wishes to submit

additional evidence, they must do so during the hearing after completing a disclosure statement. See “Disclosure Statement” section below.

SUBPOENAS FOR TESTIMONY FROM A WITNESS OR DOCUMENTS The parties to the hearing must be prepared to present evidence in support of their case. If a party wants to obtain testimony from a witness or documents not in the party’s possession, the party must prepare and file a written subpoena for the Administrative Law Judge to review and sign, if approved. A.R.S. § 41-1092.07(C). Forms for requesting a subpoena can be found on the Office of Administrative Hearings’ website at www.azoah.com. The party seeking a subpoena must serve notice on all the parties to the hearing, and on the Registrar. A.R.S. § 41-1092.04. DISCLOSURE STATEMENT At least seven calendar days before the hearing, each party must prepare and serve a disclosure statement on all other parties, and file it with the Office of Administrative Hearings. A.A.C. R4-9-118; A.A.C. R2-19-108. The disclosure statement must include any exhibit the party will use at the hearing. A party’s failure to timely disclose any witness or exhibit, without good cause, may result in the administrative law judge excluding those witnesses or exhibits from being used at the hearing. A.A.C. R4-9-118(C). A sample disclosure form is available on the Registrar’s website at https://roc.az.gov/content/prehearing-disclosure- statement.

CHANGING THE HEARING DATE

The date of the hearing may only be advanced or delayed on the agreement of the

parties or on a showing of good cause. A.R.S. § 41-1092.05(C). The date of the hearing may

be changed by filing a written agreement of the parties to change the date of the hearing. The

written agreement must be filed with the Office of Administrative Hearings, directed to the

assigned Administrative Law Judge, and transmitted to the Registrar and all other parties. The

assigned Administrative Law Judge may be found on the Office of Administrative Hearings’

web portal at www.azoah.com

If a party would like to move the date of the hearing without agreement of all parties, the party must file a written motion with the Office of Administrative Hearings, directed to the assigned Administrative Law Judge, and transmit a copy to the Registrar and all other parties. The motion must state in detail good cause for why the date of the hearing should be advanced or delayed, and the position of all other parties regarding the advancement or delay. A party may also file a motion asserting a right to an expedited hearing upon a showing of extraordinary circumstances or the possibility of irreparable harm. A.R.S. § 41-1092.05(E).

RESOLUTION SHORT OF ADJUDICATION

In any case which is resolved or settled by the parties, or which is withdrawn by the

Complainant without objection from Respondent after the Notice of Hearing is issued, the

parties must notify the Office of Administrative Hearings of the resolution or settlement. Any

such cases will be listed on the Registrar’s website and its records under the category: “Closed

Complaints – Resolved/Settled/Withdrawn.”

Dated October 2, 2023.

By: /s/ Erika Hoskin Erika Hoskin Legal Secretary Legal Department Arizona Registrar of Contractors

Copy mailed via USPS First Class mail October 2, 2023 to: Respondent(s) Horton Enterprises LLC DBA: D&D Construction & Home Improvement PO Box 23384 Phoenix, AZ 85063

Complainant(s) Steven wade 8404 s kachina dr tempe, AZ 85284 Verrin Kewenvoyouma, Esq. 700 E Baseline Rd #C-1 Tempe, AZ 85283 Copy sent electronically this same date to: Respondent at email address on record with the Registrar Complainant at email address on record with the Registrar Complainant’s Attorney at email address of record with Registrar

Case No. 2022-10867 /

Douglas A. Ducey, Governor Jeffrey L. Fleetham, Director

Hearing Packet FAQ What is the Hearing Packet?

The Hearing Packet is a packet of certain documents collected or issued by the Registrar over the course of its investigation.

Who gets the Hearing Packet?

The Hearing Packet is assembled and distributed to all parties and to the Office of Administrative Hearings (“OAH”) prior to an administrative hearing.

What types of cases does the Registrar prepare a Hearing Packet for?

The Registrar prepares a Hearing Packet for Complainant-Handled Cases and No-Pay Cases. Note: If the Docket Number on the Notice of Hearing contains a “CHC” or “NPC”, your case is a Complainant-Handled Case or a No-Pay Case.

What is in the Hearing Packet?

The Hearing Packet contains essential case-specific documents and at a minimum will include the following documents:

● Original complaint;

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov Hearing Packet FAQ

Douglas A. Ducey, Governor Jeffrey L. Fleetham, Director

● Citation; and ● Answer.

The Hearing Packet will also contain the following documents (if applicable):

● Jobsite inspection notices, notes, and photos; ● Written directives; and ● Compliance inspection notices, notes, and photos.

What if there are documents missing from the Hearing Packet?

If there is any evidence you submitted to the Registrar that are not included in the Hearing Packet it is your responsibility to introduce that evidence at the administrative hearing. Note: The administrative law judge assigned to your case does not have access to the entire Registrar record.

If there is additional evidence you submitted to the Registrar during the investigation that you also want to introduce as evidence during your hearing, it is your responsibility to:

● Properly disclose that evidence to the other party; and ● Introduce the evidence during your hearing.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov Hearing Packet FAQ

Douglas A. Ducey, Governor Jeffrey L. Fleetham, Director

How do I disclose evidence I intend to use at a Hearing?

You must properly disclose any and all documents and witnesses you intend to use at your hearing according to the Registrar’s Prehearing Disclosure Rules. See Arizona Administrative Code Section R4-9-118.

A sample prehearing disclosure form and instructions are provided to the parties by the Registrar.

How do I obtain documents I previously submitted to the Registrar?

If you previously submitted documents to the Registrar and need a copy of these documents, please contact the Registrar’s Legal Department or submit a public records request at https://roc.force.com/AZRoc/s/roc-public-request.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov Hearing Packet FAQ

Douglas A. Ducey, Governor Jeffrey L. Fleetham, Director

Complainant: Steven Wade 8404 S Kachina Dr Tempe, AZ 85284

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov C008 05/21 Douglas A. Ducey, Governor Jeffrey L. Fleetham, Director

Respondent: Horton Enterprises LLC DBA: D&D Construction & Home Improvement PO Box 23384 Phoenix, AZ 85063

December 21, 2022

Jobsite Inspection Notice Re: Complaint Number 2022-10867

Dear Complainant and Respondent:

A formal complaint has been filed with the Arizona Registrar of Contractors.

A jobsite inspection is scheduled for January 11, 2023 at 10:30 AM. The Complainant is required to be present. The Respondent’s attendance is requested and encouraged. The Registrar encourages both parties to make a good faith effort to resolve this complaint prior to the jobsite inspection.

COMPLAINANT: 1. Under A.R.S. § 32-1155(D)(1), the Respondent must be allowed, upon request, the opportunity to inspect the work complained of within fifteen (15) days of receiving this notice. If Respondent is not provided an opportunity to inspect the work within the fifteen (15) day time period, the Registrar may be prohibited from taking further action on this complaint. 2. The Registrar may also be precluded from taking further action on this complaint, if the work that is the subject of the complaint is subject to neglect, modification, or abnormal use. A.R.S. § 32-1155(D)(2) 3. You must provide safe access to any area to be inspected. If access to a roof or other elevated area is required, you must provide a means to safely access the area (ladder or manlift as appropriate). Additionally, please secure any animals.

RESPONDENT: 1. Enclosed is a copy of the complaint. Under A.R.S. § 32-1155(D) you must be allowed, upon request, the opportunity to inspect the work complained of within fifteen days of the date of receipt of this notice. 2. To assist the assigned investigator in evaluating the merits of the complaint, please submit a response to the enclosed complaint to the assigned investigator prior to the scheduled inspection. 3. If you do not attend the jobsite inspection, your absence may negatively impact the investigation, and your interests. 4. If a building permit(s) was required for this project, please have the building permit information available at the jobsite inspection. If either party needs to reschedule the jobsite inspection, please notify the assigned investigator at least three business days prior to the inspection date to schedule a new date and time. 1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov C008 05/21 Douglas A. Ducey, Governor Jeffrey L. Fleetham, Director

If the parties resolve the complaint prior to the inspection, please notify the assigned investigator in writing and by phone as soon as possible.

Sincerely, Mark Nipp Mark Nipp, Investigator (602) 771-6740 [email redacted] 1700 W Washington St, Suite 105 Phoenix, AZ 85007

CC: Respondent Complainant Complainant Attorney

A Guide to Jobsite Inspections Purpose of the Jobsite Inspection When the Registrar receives a complaint against a contractor’s license alleging poor workmanship, the Registrar generally schedules a Jobsite Inspection. The Jobsite Inspection serves two purposes: 1. To give the contractor an opportunity to inspect the complaint items; and 2. To give the Registrar an opportunity to determine if the contractor’s work violates Arizona law.

Jobsite Inspection Rights and Responsibilities Access to inspect: The property owner has complete control over who they allow on the property. However, if the Registrar’s investigator or the contractor cannot inspect the work, the Registrar will not move forward with a citation.

Cooperation: Arizona law enables injured parties to seek relief for damages through several paths. When dealing with a licensed contractor, the Registrar of Contractors’ administrative complaint process may serve as one of those possible paths. However, in order to use that path, the Registrar relies on the cooperation of all parties to a complaint.

Minimum workmanship: The Registrar investigates workmanship complaints for compliance with minimum workmanship and professional industry standards. The Registrar does not issue citations for work that meets these standards.

Scope: The scope of the Jobsite Inspection is limited to items listed in the complaint filed with the Registrar’s office. It is the complainant’s responsibility to point out the complaint item(s) and the Investigators role to review the item(s). If the complainant identifies additional workmanship items not listed in the original complaint, they must file an addendum to the complaint. The Registrar’s Investigator may identify additional administrative violations by the contractor (e.g. work performed out of scope of the license and failure to provide a contract that meets requirements set by Arizona law) at the time of the inspection.

The Role of the Investigator At the Jobsite Inspection, the Registrar’s investigator will: ● Only investigate the items listed on the complaint form filed with the Registrar. ● Will gather evidence to make an informed decision about the complaint items.

What to expect after a Jobsite Inspection After doing a Jobsite Inspection, the Registrar’s Investigator will leave the jobsite and review the evidence provided during the inspection. Generally, the investigator does not make any determination at the time of the jobsite inspection regarding whether the allegations listed in the complaint are supported. ● If the allegations are confirmed, the Registrar’s Investigator may issue a Written Directive telling the contractor to correct the poor or incomplete work. ● If the allegations are not confirmed, the Registrar’s Investigator will close the complaint.

Questions? If you have already filed a complaint and it was assigned to an investigator, you are encouraged to contact that investigator directly with the information listed in your jobsite inspection letter. If you have not filed a complaint yet or have not been assigned an investigator, you can reach the Registrar’s compliance department at (877) 692-9762.

A Guide to Written Directives Purpose of the Jobsite Inspection When the Registrar receives a complaint against a contractor’s license, the Registrar generally schedules a Jobsite Inspection. The Jobsite Inspection serves two purposes: 1. To give the contractor an opportunity to inspect the complaint items; and 2. To give the Registrar an opportunity to determine if the contractor’s work violates Arizona law.

What to expect after a Jobsite Inspection After doing a Jobsite Inspection, the Registrar’s Investigator will determine whether the allegations listed in the complaint are supported. ● If the allegations are confirmed, the Registrar’s Investigator may issue a Written Directive telling the contractor to correct the poor or incomplete work. ● If the allegations are not confirmed, the Registrar’s Investigator will close the complaint.

Written Directives Access: In order to use the administrative process offered by the Registrar, a property owner must provide reasonable access to allow the contractor to fix their work as directed by the Registrar in a Written Directive. Complainants may not put any additional, unnecessary restrictions on the Respondent above and beyond the initial contract requirements agreed upon at the beginning of the project. Respondents are required to make repairs on items identified on any Written Directive, not otherwise restricted by local code or HOA limitations. Complainants must make access available to the Respondent to make the required repairs and failure to provide reasonable access may result in the Registrar dismissing the complaint.

Contractor obligations: The Written Directive will set a deadline for compliance. This is the period of time determined by the Investigator as necessary to complete the items listed in the Directive. ● The deadline for compliance assumes the contractor will promptly begin working on the items listed in the Directive. ● Do not wait. Both parties should communicate quickly to schedule the work.

Extensions: If good cause exists to extend this deadline, either party may submit a written request to the Investigator. The Registrar will review requests for extension and determine if the Directive should be extended.

Manner and method of performance: The Registrar does not provide specific instructions for how to correct poor work. A licensed contractor is expected to have the skill and professionalism to complete the work. Moreover, the complainant may not dictate the manner of repair. If the contractor fails to appropriately correct the work according to the contract, the Registrar will issue a citation.

Compliance Inspection: After the Written Directive expires, the Registrar’s Investigator will contact the complainant to determine if the contractor performed any corrective work. ● If the contractor did corrective work, the Investigator may schedule a Compliance Inspection to determine if the poor work is corrected. ● If the contractor did not perform any corrective work, the Registrar’s Investigator will not do a Compliance Inspection and will determine whether to issue a citation based on the administrative record.

Work performed after the directive ends: After the Directive period ends, a property owner may choose to allow the contractor to continue its work. The Registrar encourages parties to work cooperatively, but cannot 1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov C008 05/21 Douglas A. Ducey, Governor Jeffrey L. Fleetham, Director

require a homeowner to continue to allow a contractor access to the property after the Directive period ends in order for the administrative process to continue. Denying access after the Directive ends is not grounds to close or dismiss a complaint.

Complainant Attorney: Verrin Kewenvoyouma 700 E Baseline Rd, #C-1 Tempe, AZ 85283

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov C008 05/21 Complaint #2023-10867 P 1 JSI Date 1/11/2023 at 10:30 AM JSI PHOTOS Complaint #2023-10867 P 2 JSI Date 1/11/2023 at 10:30 AM JSI PHOTOS Complaint #2023-10867 P 3 JSI Date 1/11/2023 at 10:30 AM JSI PHOTOS Complaint #2023-10867 P 4 JSI Date 1/11/2023 at 10:30 AM JSI PHOTOS Complaint #2023-10867 P 5 JSI Date 1/11/2023 at 10:30 AM JSI PHOTOS Complaint #2023-10867 P 6 JSI Date 1/11/2023 at 10:30 AM JSI PHOTOS Complaint #2023-10867 P 7 JSI Date 1/11/2023 at 10:30 AM JSI PHOTOS Complaint #2023-10867 P 8 JSI Date 1/11/2023 at 10:30 AM JSI PHOTOS Complaint #2023-10867 P 9 JSI Date 1/11/2023 at 10:30 AM JSI PHOTOS Complaint #2023-10867 P 10 JSI Date 1/11/2023 at 10:30 AM JSI PHOTOS Complaint #2023-10867 P 11 JSI Date 1/11/2023 at 10:30 AM JSI PHOTOS Complaint #2023-10867 P 12 JSI Date 1/11/2023 at 10:30 AM JSI PHOTOS Complaint #2023-10867 P 13 JSI Date 1/11/2023 at 10:30 AM JSI PHOTOS Complaint #2023-10867 P 14 JSI Date 1/11/2023 at 10:30 AM JSI PHOTOS Complaint #2023-10867 P 15 JSI Date 1/11/2023 at 10:30 AM JSI PHOTOS Complaint #2023-10867 P 16 JSI Date 1/11/2023 at 10:30 AM JSI PHOTOS Complaint #2023-10867 P 17 JSI Date 1/11/2023 at 10:30 AM JSI PHOTOS Complaint #2023-10867 P 18 JSI Date 1/11/2023 at 10:30 AM JSI PHOTOS Complaint #2023-10867 P 19 JSI Date 1/11/2023 at 10:30 AM JSI PHOTOS Complaint #2023-10867 P 20 JSI Date 1/11/2023 at 10:30 AM JSI PHOTOS Complaint #2023-10867 P 21 JSI Date 1/11/2023 at 10:30 AM JSI PHOTOS Complaint #2023-10867 P 22 JSI Date 1/11/2023 at 10:30 AM JSI PHOTOS Complaint #2023-10867 P 23 JSI Date 1/11/2023 at 10:30 AM JSI PHOTOS Complaint #2023-10867 P 24 JSI Date 1/11/2023 at 10:30 AM JSI PHOTOS Complaint #2023-10867 P 25 JSI Date 1/11/2023 at 10:30 AM JSI PHOTOS Complaint #2023-10867 P 26 JSI Date 1/11/2023 at 10:30 AM JSI PHOTOS Complaint #2023-10867 P 27 JSI Date 1/11/2023 at 10:30 AM JSI PHOTOS Complaint #2023-10867 P 28 JSI Date 1/11/2023 at 10:30 AM JSI PHOTOS Complaint #2023-10867 P 29 JSI Date 1/11/2023 at 10:30 AM JSI PHOTOS Complaint #2023-10867 P 30 JSI Date 1/11/2023 at 10:30 AM JSI PHOTOS Complaint #2023-10867 P 31 JSI Date 1/11/2023 at 10:30 AM JSI PHOTOS Complaint #2023-10867 P 32 JSI Date 1/11/2023 at 10:30 AM JSI PHOTOS Complaint #2023-10867 P 33 JSI Date 1/11/2023 at 10:30 AM JSI PHOTOS Complaint #2023-10867 P 34 JSI Date 1/11/2023 at 10:30 AM JSI PHOTOS Katie Hobbs, Governor Jeffrey L. Fleetham, Director

Jobsite Inspection Notes

Case No.: 2022-10867 Investigator: Mark Nipp Inspection Date: January 11, 2023 Inspection Time: 10:30 AM

Complainant: Steven and April Respondent: Horton Enterprises Wade LLC (Dion Horton) Not Present: Not Present:

Jobsite General Notes: N/A

Compliance Item #1: South shower wall was framed by the contractor with a sloped (crocked - or not plumb- not square with the floor/ceiling), this also shows in the tile work. Investigator’s Observation: Verified The corner of the shower enclosure (left of shower head) is not plumb or flat. I measured the area with a four foot level and noted there was a gap that exceeded 3/16 inch. A contractor shall perform all work in a professional and workmanlike manner. The respondent should correct by appropriate means, pursuant to the contract, applicable building codes, and within the scope of their license. Reference Picture(s) 2-3 Governing Rule: Violation of any rule adopted by the registrar; Namely R 4-9-108(a): A contractor shall perform work in a professional and workmanlike manner.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov RCC100 08/19

Investigator’s Observation: Not Verified While this condition is present, it is cosmetic and does not indicate poor workmanship or a violation of A.R.S. § 32-1154(A). N/A Reference Picture(s) 4 Governing Rule: N/A

Compliance Item #3: Shower pan is unevenly formed; it's not sloped uniformly and visually looks bad Investigator’s Observation: Not Verified – Although the conditions described are present, they are not verified as the responsibility of the respondent. Both parties explained that the original design did not include a curb for the shower. However, after the wall tiles drain, floor tiles and fixtures had been installed, the Complainant signed a change order to add the curb. When the curb was added it made the slope of the pan more drastic and not symmetrical with the other side of the floor pan. I saw that the floor pan had a steeper slope on the curb side than it did on the wall side. However, based on the change order, this item is not the responsibility of the Respondent. No further action is required. Reference Picture(s) 4-5 Governing Rule: N/A

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov RCC100 08/19

was added it made the drain off center with the fixtures and drain that had already been installed. I saw that the drain was not centered on the other plumbing fixtures. However, based on the change order, this item is not the responsibility of the Respondent. No further action is required. Reference Picture(s) 4-5 Governing Rule: N/A

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov RCC100 08/19

The contractor should identify all fixtures where this condition exists and the respondent should correct by appropriate means, pursuant to the contract, applicable building codes, and within the scope of their license. Reference Picture(s) 6-9 Governing Rule: Violation of any rule adopted by the registrar; Namely R 4-9-108(a): A contractor shall perform work in a professional and workmanlike manner.

Compliance Item #7: The tub was unpackaged for installation, and then subsequently not installed. It was not re-covered or re-packaged, and debris was allowed to collect in the tub (what looks to be thin-set and drywall chunks). It appears to be scratched now. Investigator’s Observation: Verified Both parties agreed that the fixtures were about to be installed but the Respondent experienced a delay after the fixtures had been unpackaged. I saw that the bath tub was covered in plastic; however, there was a large tear in the plastic on the top. There was debris inside the bath tub. I saw scratches on the interior surface of the bath tub. The contractor has a responsibility to provide fixtures in new condition. It is the Respondent’s responsibility to safeguard the uninstalled fixtures. The respondent should correct by appropriate means, pursuant to the contract, applicable building codes, and within the scope of their license. Reference Picture(s) 8, 10-11 Governing Rule: Violation of any rule adopted by the registrar; Namely R 4-9-108(a): A contractor shall perform work in a professional and workmanlike manner.

Compliance Item #8: The tile laid at the end of the pony wall that divides the shower area from the tub area is visibly not square. Investigator’s Observation: Verified The Complainant provided a carpenter’s square.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov RCC100 08/19

I saw that the pony wall (end) was not square. A contractor shall perform all work in a professional and workmanlike manner. The respondent should correct by appropriate means, pursuant to the contract, applicable building codes, and within the scope of their license. Reference Picture(s) 12-13 Governing Rule: Violation of any rule adopted by the registrar; Namely R 4-9-108(a): A contractor shall perform work in a professional and workmanlike manner.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov RCC100 08/19

I was not able to inspect this compliance item. No further action is required. Reference Picture(s) N/A Governing Rule: N/A

Compliance Item #11: Improper troweling technique was used to lay large format tile. As a result, some of the tiles have large air-pockets under the tiles that make them susceptible to cracking under light loads and impact. Investigator’s Observation: Not Verified The Complainant pointed out several areas that he believed had air pockets. I inspected the flooring the Complainant pointed out, I noted there was one small area (within one tile) that had a hollow sound. The tile appeared to be well bonded to the sub-floor. This condition is acceptable if it is not extensive and the tile is solidly bonded to the floor membrane. No further action is required. Reference Picture(s) N/A Governing Rule: N/A

Compliance Item #12: New windows were added to the structure. Lintels were not installed in a timely fashion and a crack has formed above one of the windows in the concrete wall. Investigator’s Observation: Not Verified I saw there were cracks in the new stucco; however, none exceed 1/16”. I also noted multiple pre-existing cracks in the stucco. No further action is required. Reference Picture(s) 16-20 Governing Rule: N/A

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov RCC100 08/19

Sloped sills are not required by code. This compliance items does not indicate poor work. No further action is required. Reference Picture(s) 16-20 Governing Rule: N/A

Compliance Item #14: The newly added windows are not installed at the correct depth and the installation does not match other rectangular window installations in the house. Investigator’s Observation: DUPLICATE of Complaint Item #13 See Compliance Item #13 Reference Picture(s) N/A Governing Rule: N/A

Compliance Item #15: The newly installed windows are installed improperly. Investigator’s Observation: Not Verified - Insufficient Evidence The Complainant explained that the windows were installed with just the lip attached to any support structure. There was Insufficient Evidence to determine how the window was installed. The contractor should inspect the newly installed windows and determine if they are installed pursuant to the manufacturer’s recommendations, building code, and professional standards. If any deficiencies are discovered, the Respondent should make necessary corrections. No further action is required. Reference Picture(s) 21-23 Governing Rule: N/A

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov RCC100 08/19

Compliance Item #17: In the primary area of the bedroom, the drywall on the south wall, the outlets have been encased in mud such that that an outlet bezel can’t be installed. Investigator’s Observation: Verified I saw that three outlets in the primary bedroom had been completely sealed in the electrical box with drywall. The screw holes to attach a cover plate had been covered. A contractor shall perform all work in a professional and workmanlike manner. The respondent should correct by appropriate means, pursuant to the contract, applicable building codes, and within the scope of their license. Reference Picture(s) 29-32 Governing Rule: Violation of any rule adopted by the registrar; Namely R 4-9-108(a): A contractor shall perform work in a professional and workmanlike manner.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov RCC100 08/19

Compliance Item #18: The existing structure has a foam roof with elastomeric coating. The new penetrations to the roof were not completed in a manner consistent with the existing construction. Investigator’s Observation: Not Verified - Insufficient Evidence I saw there were two patches made to the roof that appeared to have been done with an oil-based tar product. There was Insufficient Evidence to determine if the roof patch was compatible with the existing roof system. No further action is required. Reference Picture(s) 33-34 Governing Rule: N/A

Compliance Item #19: The contractor failed to complete required patch work per our agreement and instead painted the over the areas needing tape and texture… Contractor also painted the dining room ceiling the incorrect color… we hired an independent drywall repairman to fix the drywall. We then repainted the wall and corrected the color in the dining room. Investigator’s Observation: Not Verified - Modified The Complainant confirmed they hired another contractor to complete/correct this work. The registrar may not issue a citation for poor workmanship if the contractor’s work has been subject to neglect, modification, or abuse (A.R.S. § 32- 1155(D). No further action is required. Reference Picture(s) N/A Governing Rule: N/A

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov RCC100 08/19

Katie Hobbs, Governor Jeffrey L. Fleetham, Director

Complainant: Steven Wade 8404 S Kachina Dr. Tempe, AZ 85284

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov C009 04/21 Katie Hobbs, Governor Jeffrey L. Fleetham, Director

Respondent: Horton Enterprises LLC DBA: D&D Construction & Home Improvement PO Box 23384 Phoenix, AZ 85063

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov C009 04/21 Katie Hobbs, Governor Jeffrey L. Fleetham, Director

January 24, 2023

License No. ROC 309645

Re:Complaint No. 2022-10867

WRITTEN DIRECTIVE FROM THE REGISTRAR

Dear Respondent:

After investigation, the Registrar determined that you failed to meet the requirements of A.R.S. § 32-1154(A), and now issues this Directive requiring you to take appropriate corrective action. Failure to comply with this Directive constitutes a violation of A.R.S. § 32-1154(A)(22) and may result in the issuance of a citation, discipline of your license, and a civil penalty pursuant to A.R.S. § 32-1154(E) of up to $500.00. You must notify the Registrar’s assigned Investigator of your compliance with this Directive prior to 5:00 p.m. on February 13, 2023.

RESTRICTIONS • You may not perform or hire other contractors to perform work that is outside the scope of your license. • If your license is currently suspended for administrative reasons 1, or is inactive, expired, or cancelled, you may not perform any corrective work nor contract in any manner, which includes hiring other contractors to perform work, until the suspension of your license(s) has been lifted or your license(s) has been reactivated.

DIRECTIVE REQUIREMENTS You are directed to remedy the following violations by the appropriate means:

This means the license is suspended for lack of qualifying party, lack of bond, nonrenewal, Recovery Fund payout, or for any reason listed in A.R.S. § 32-1124(F).

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov C009 04/21 Katie Hobbs, Governor Jeffrey L. Fleetham, Director

The respondent should correct by appropriate means, pursuant to the contract, applicable building codes, and within the scope of their license. Reference Picture(s) 2-3 Governing Rule: Violation of any rule adopted by the registrar; Namely R 4-9-108(a): A contractor shall perform work in a professional and workmanlike manner. Compliance Item #6: Many of the shower and tub trim kits were unpackaged for installation and then subsequently laid in piles on the ground - much of it is scratched and damaged. Investigator’s Observation: Verified Both parties agreed that the fixtures were about to be installed but the Respondent experienced a delay after the fixtures had been unpackaged. I saw that there were multiple fixtures laying in a pile on the corner. I saw examples of the damage to the finish of the fixtures. The contractor has a responsibility to provide fixtures in new condition. It is the Respondent’s responsibility to safeguard the uninstalled fixtures. The contractor should identify all fixtures where this condition exists and the respondent should correct by appropriate means, pursuant to the contract, applicable building codes, and within the scope of their license. Reference Picture(s) 6-9 Governing Rule: Violation of any rule adopted by the registrar; Namely R 4-9-108(a): A contractor shall perform work in a professional and workmanlike manner. Compliance Item #7: The tub was unpackaged for installation, and then subsequently not installed. It was not re-covered or re-packaged, and debris was allowed to collect in the tub (what looks to be thin-set and drywall chunks). It appears to be scratched now. Investigator’s Observation: Verified

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov C009 04/21 Katie Hobbs, Governor Jeffrey L. Fleetham, Director

Both parties agreed that the fixtures were about to be installed but the Respondent experienced a delay after the fixtures had been unpackaged. I saw that the bath tub was covered in plastic; however, there was a large tear in the plastic on the top. There was debris inside the bath tub. I saw scratches on the interior surface of the bath tub. The contractor has a responsibility to provide fixtures in new condition. It is the Respondent’s responsibility to safeguard the uninstalled fixtures. The respondent should correct by appropriate means, pursuant to the contract, applicable building codes, and within the scope of their license. Reference Picture(s) 8, 10-11 Governing Rule: Violation of any rule adopted by the registrar; Namely R 4-9-108(a): A contractor shall perform work in a professional and workmanlike manner. Compliance Item #8: The tile laid at the end of the pony wall that divides the shower area from the tub area is visibly not square. Investigator’s Observation: Verified The Complainant provided a carpenter’s square. I saw that the pony wall (end) was not square. A contractor shall perform all work in a professional and workmanlike manner. The respondent should correct by appropriate means, pursuant to the contract, applicable building codes, and within the scope of their license. Reference Picture(s) 12-13 Governing Rule: Violation of any rule adopted by the registrar; Namely R 4-9-108(a): A contractor shall perform work in a professional and workmanlike manner. Compliance Item #16: 2 existing windows in the structure were replaced. The windows appear to be "pressed" into the opening causing the frame to be distorted, the screen and sash do not seat properly in the bottom of the window. Investigator’s Observation: Verified

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov C009 04/21 Katie Hobbs, Governor Jeffrey L. Fleetham, Director

The Complainant demonstrated that the two windows in the primary bedroom did not completely close. I inspected the windows and noted they had a high spot in the center of the window and the window panel could be rocked up/down to either side. The windows did not close completely and latching/unlatching was not consistent. Windows should operate smoothly with reasonable ease and should be able to close completely. The respondent should correct by appropriate means, pursuant to the contract, applicable building codes, and within the scope of their license. Reference Picture(s) 24-28 Governing Rule: Violation of any rule adopted by the registrar; Namely R 4-9-108(a): A contractor shall perform work in a professional and workmanlike manner. Compliance Item #17: In the primary area of the bedroom, the drywall on the south wall, the outlets have been encased in mud such that that an outlet bezel can’t be installed. Investigator’s Observation: Verified I saw that three outlets in the primary bedroom had been completely sealed in the electrical box with drywall. The screw holes to attach a cover plate had been covered. A contractor shall perform all work in a professional and workmanlike manner. The respondent should correct by appropriate means, pursuant to the contract, applicable building codes, and within the scope of their license. Reference Picture(s) 29-32 Governing Rule: Violation of any rule adopted by the registrar; Namely R 4-9-108(a): A contractor shall perform work in a professional and workmanlike manner.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov C009 04/21 Katie Hobbs, Governor Jeffrey L. Fleetham, Director

ITEMS NOT REQUIRING CORRECTION The following complaint items require no action by the Respondent:

Compliance Item #2: Southeast corner of was not laid with full tiles, it was formed with one full tile and one cut tile and it looks terrible. Two full tiles should have made up the corner and then the cut tiles should have ended up at either end of each wall, away from the focal point. Investigator’s Observation: Not Verified While this condition is present, it is cosmetic and does not indicate poor workmanship or a violation of A.R.S. § 32-1154(A). N/A Reference Picture(s) 4 Governing Rule: N/A Compliance Item #3: Shower pan is unevenly formed; it's not sloped uniformly and visually looks bad Investigator’s Observation: Not Verified – Although the conditions described are present, they are not verified as the responsibility of the respondent. Both parties explained that the original design did not include a curb for the shower. However, after the wall tiles drain, floor tiles and fixtures had been installed, the Complainant signed a change order to add the curb. When the curb was added it made the slope of the pan more drastic and not symmetrical with the other side of the floor pan. I saw that the floor pan had a steeper slope on the curb side than it did on the wall side. However, based on the change order, this item is not the responsibility of the Respondent. No further action is required. Reference Picture(s) 4-5 Governing Rule: N/A Compliance Item #4: The shower drain is 3" off center in the east-west direction of the shower

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov C009 04/21 Katie Hobbs, Governor Jeffrey L. Fleetham, Director

Investigator’s Observation: Not Verified – Although the conditions described are present, they are not verified as the responsibility of the respondent. Both parties explained that the original design did not include a curb for the shower. However, after the wall tiles drain, floor tiles and fixtures had been installed, the Complainant signed a change order to add the curb. When the curb was added it made the drain off center with the fixtures and drain that had already been installed. I saw that the drain was not centered on the other plumbing fixtures. However, based on the change order, this item is not the responsibility of the Respondent. No further action is required. Reference Picture(s) 4-5 Governing Rule: N/A Compliance Item #5: The copper lines that come through the slab were imbedded in the concrete; the older construction placed the copper lines in plastic sleeves where they penetrated the slab, presumably to provide relief as the concrete shifts and settles. Investigator’s Observation: Not Verified - Insufficient Evidence I was not able to inspect this item. However, the Respondent should determine if this condition exists and take appropriate corrective action. No further action is required. Reference Picture(s) N/A Governing Rule: N/A Compliance Item #9: The tile floor is scratched now because it was done at the beginning of the project, and it was not protected as the contractor assured it would be. Subsequent construction was carried out and the floor has been damaged. Investigator’s Observation: Not Verified The Complainant explained that the tile was installed before any other work was done and the workers did not cover the flooring to protect it.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov C009 04/21 Katie Hobbs, Governor Jeffrey L. Fleetham, Director

I saw there were small scratches on the floor surface in the primary bedroom and bathroom. I noted there was a substantial amount of construction debris on the floor and there was no apparent effort to protect the flooring. The Respondent is responsible for safeguarding the installed flooring while additional construction takes place. The contractor should identify all locations where this condition exists and the respondent should correct by appropriate means, pursuant to the contract, applicable building codes, and within the scope of their license. Reference Picture(s) 14-15 Governing Rule: Violation of any rule adopted by the registrar; Namely R 4-9-108(a): A contractor shall perform work in a professional and workmanlike manner. Compliance Item #10: The concrete was not properly prepared prior to laying tile, planed concrete joints and cracks were not covered with elastomeric barrier. Investigator’s Observation: Not Verified - Insufficient Evidence I was not able to inspect this compliance item. No further action is required. Reference Picture(s) N/A Governing Rule: N/A Compliance Item #11: Improper troweling technique was used to lay large format tile. As a result, some of the tiles have large air-pockets under the tiles that make them susceptible to cracking under light loads and impact. Investigator’s Observation: Not Verified The Complainant pointed out several areas that he believed had air pockets. I inspected the flooring the Complainant pointed out, I noted there was one small area (within one tile) that had a hollow sound. The tile appeared to be well bonded to the sub-floor. This condition is acceptable if it is not extensive and the tile is solidly bonded to the floor membrane. No further action is required.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov C009 04/21 Katie Hobbs, Governor Jeffrey L. Fleetham, Director

Reference Picture(s) N/A Governing Rule: N/A Compliance Item #12: New windows were added to the structure. Lintels were not installed in a timely fashion and a crack has formed above one of the windows in the concrete wall. Investigator’s Observation: Not Verified I saw there were cracks in the new stucco; however, none exceed 1/16”. I also noted multiple pre-existing cracks in the stucco. No further action is required. Reference Picture(s) 16-20 Governing Rule: N/A Compliance Item #13: The newly added windows do not have a sloped sill and do not match the other rectangular window installations in the house Investigator’s Observation: Not Verified – This compliance item does not indicate poor workmanship or a violation of A.R.S. § 32-1154(A). Sloped sills are not required by code. This compliance items does not indicate poor work. No further action is required. Reference Picture(s) 16-20 Governing Rule: N/A Compliance Item #14: The newly added windows are not installed at the correct depth and the installation does not match other rectangular window installations in the house. Investigator’s Observation: DUPLICATE of Complaint Item #13 See Compliance Item #13 Reference Picture(s) N/A Governing Rule: N/A Compliance Item #15: The newly installed windows are installed improperly. Investigator’s Observation: Not Verified - Insufficient Evidence

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov C009 04/21 Katie Hobbs, Governor Jeffrey L. Fleetham, Director

The Complainant explained that the windows were installed with just the lip attached to any support structure. There was Insufficient Evidence to determine how the window was installed. The contractor should inspect the newly installed windows and determine if they are installed pursuant to the manufacturer’s recommendations, building code, and professional standards. If any deficiencies are discovered, the Respondent should make necessary corrections. No further action is required. Reference Picture(s) 21-23 Governing Rule: N/A Compliance Item #18: The existing structure has a foam roof with elastomeric coating. The new penetrations to the roof were not completed in a manner consistent with the existing construction. Investigator’s Observation: Not Verified - Insufficient Evidence I saw there were two patches made to the roof that appeared to have been done with an oil-based tar product. There was Insufficient Evidence to determine if the roof patch was compatible with the existing roof system. No further action is required. Reference Picture(s) 33-34 Governing Rule: N/A Compliance Item #19: The contractor failed to complete required patch work per our agreement and instead painted the over the areas needing tape and texture… Contractor also painted the dining room ceiling the incorrect color… we hired an independent drywall repairman to fix the drywall. We then repainted the wall and corrected the color in the dining room. Investigator’s Observation: Not Verified - Modified The Complainant confirmed they hired another contractor to complete/correct this work. The registrar may not issue a citation for poor workmanship if the

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov C009 04/21 Katie Hobbs, Governor Jeffrey L. Fleetham, Director

contractor’s work has been subject to neglect, modification, or abuse (A.R.S. § 32- 1155(D). No further action is required. Reference Picture(s) N/A Governing Rule: N/A

Please direct all questions regarding this Directive to the undersigned Investigator.

Sincerely,

Mark Nipp Mark Nipp, Investigator (602) 771-6740 [email redacted] 1700 W Washington St, Suite 105 Phoenix, AZ 85007

CC: Respondent Complainant

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov C009 04/21 Katie Hobbs, Governor Martín Quezada, Director

Complainant: Steven Wade 8404 S Kachina Dr. Tempe, AZ 85284

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov C009 04/21 Katie Hobbs, Governor Martín Quezada, Director

Respondent: Horton Enterprises LLC DBA: D&D Construction & Home Improvement PO Box 23384 Phoenix, AZ 85063

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov C009 04/21 Katie Hobbs, Governor Martín Quezada, Director

February 8, 2023

License No. ROC 309645

Re:Complaint No. 2022-10867

WRITTEN DIRECTIVE FROM THE REGISTRAR

Dear Respondent:

DIRECTIVE REQUIREMENTS You are directed to remedy the following violations by the appropriate means:

This means the license is suspended for lack of qualifying party, lack of bond, nonrenewal, Recovery Fund payout, or for any reason listed in A.R.S. § 32-1124(F).

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov C009 04/21 Katie Hobbs, Governor Martín Quezada, Director

Both parties agreed that the fixtures were about to be installed but the Respondent experienced a delay after the fixtures had been unpackaged. I saw that the bath tub was covered in plastic; however, there was a large tear in the plastic on the top. There was debris inside the bath tub. I saw scratches on the interior surface of the bath tub. The contractor has a responsibility to provide fixtures in new condition. It is the Respondent’s responsibility to safeguard the uninstalled fixtures. The respondent should correct by appropriate means, pursuant to the contract, applicable building codes, and within the scope of their license. Reference Picture(s) 8, 10-11 Governing Rule: Violation of any rule adopted by the registrar; Namely R 4-9-108(a): A contractor shall perform work in a professional and workmanlike manner. Compliance Item #8: The tile laid at the end of the pony wall that divides the shower area from the tub area is visibly not square. Investigator’s Observation: Verified The Complainant provided a carpenter’s square. I saw that the pony wall (end) was not square. A contractor shall perform all work in a professional and workmanlike manner. The respondent should correct by appropriate means, pursuant to the contract, applicable building codes, and within the scope of their license. Reference Picture(s) 12-13 Governing Rule: Violation of any rule adopted by the registrar; Namely R 4-9-108(a): A contractor shall perform work in a professional and workmanlike manner. Compliance Item #9: The tile floor is scratched now because it was done at the beginning of the project, and it was not protected as the contractor assured it would be. Subsequent construction was carried out and the floor has been damaged. Investigator’s Observation: Verified

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov C009 04/21 Katie Hobbs, Governor Martín Quezada, Director

The Complainant explained that the tile was installed before any other work was done and the workers did not cover the flooring to protect it. I saw there were small scratches on the floor surface in the primary bedroom and bathroom. I noted there was a substantial amount of construction debris on the floor and there was no apparent effort to protect the flooring. The Respondent is responsible for safeguarding the installed flooring while additional construction takes place. The contractor should identify all locations where this condition exists and the respondent should correct by appropriate means, pursuant to the contract, applicable building codes, and within the scope of their license. Reference Picture(s) 14-15 Governing Rule: Violation of any rule adopted by the registrar; Namely R 4-9-108(a): A contractor shall perform work in a professional and workmanlike manner. Compliance Item #16: 2 existing windows in the structure were replaced. The windows appear to be "pressed" into the opening causing the frame to be distorted, the screen and sash do not seat properly in the bottom of the window. Investigator’s Observation: Verified The Complainant demonstrated that the two windows in the primary bedroom did not completely close. I inspected the windows and noted they had a high spot in the center of the window and the window panel could be rocked up/down to either side. The windows did not close completely and latching/unlatching was not consistent. Windows should operate smoothly with reasonable ease and should be able to close completely. The respondent should correct by appropriate means, pursuant to the contract, applicable building codes, and within the scope of their license. Reference Picture(s) 24-28

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov C009 04/21 Katie Hobbs, Governor Martín Quezada, Director

Governing Rule: Violation of any rule adopted by the registrar; Namely R 4-9-108(a): A contractor shall perform work in a professional and workmanlike manner. Compliance Item #17: In the primary area of the bedroom, the drywall on the south wall, the outlets have been encased in mud such that that an outlet bezel can’t be installed. Investigator’s Observation: Verified I saw that three outlets in the primary bedroom had been completely sealed in the electrical box with drywall. The screw holes to attach a cover plate had been covered. A contractor shall perform all work in a professional and workmanlike manner. The respondent should correct by appropriate means, pursuant to the contract, applicable building codes, and within the scope of their license. Reference Picture(s) 29-32 Governing Rule: Violation of any rule adopted by the registrar; Namely R 4-9-108(a): A contractor shall perform work in a professional and workmanlike manner.

ITEMS NOT REQUIRING CORRECTION The following complaint items require no action by the Respondent:

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov C009 04/21 Katie Hobbs, Governor Martín Quezada, Director

Governing Rule: N/A Compliance Item #3: Shower pan is unevenly formed; it's not sloped uniformly and visually looks bad Investigator’s Observation: Not Verified – Although the conditions described are present, they are not verified as the responsibility of the respondent. Both parties explained that the original design did not include a curb for the shower. However, after the wall tiles drain, floor tiles and fixtures had been installed, the Complainant agreed to add the curb. When the curb was added it made the slope of the pan more drastic and not symmetrical with the other side of the floor pan. I saw that the floor pan had a steeper slope on the curb side than it did on the wall side. However, based on the Complainant agreeing to the change, this item is not the responsibility of the Respondent. No further action is required. Reference Picture(s) 4-5 Governing Rule: N/A Compliance Item #4: The shower drain is 3" off center in the east-west direction of the shower Investigator’s Observation: Not Verified – Although the conditions described are present, they are not verified as the responsibility of the respondent. Both parties explained that the original design did not include a curb for the shower. However, after the wall tiles drain, floor tiles and fixtures had been installed, the Complainant agreed to add the curb. When the curb was added it made the drain off center with the fixtures and drain that had already been installed. I saw that the drain was not centered on the other plumbing fixtures. However, based on the Complainant agreeing to the change, this item is not the responsibility of the Respondent. No further action is required.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov C009 04/21 Katie Hobbs, Governor Martín Quezada, Director

Reference Picture(s) 4-5 Governing Rule: N/A Compliance Item #5: The copper lines that come through the slab were imbedded in the concrete; the older construction placed the copper lines in plastic sleeves where they penetrated the slab, presumably to provide relief as the concrete shifts and settles. Investigator’s Observation: Not Verified - Insufficient Evidence I was not able to inspect this item. However, the Respondent should determine if this condition exists and take appropriate corrective action. No further action is required. Reference Picture(s) N/A Governing Rule: N/A Compliance Item #10: The concrete was not properly prepared prior to laying tile, planed concrete joints and cracks were not covered with elastomeric barrier. Investigator’s Observation: Not Verified - Insufficient Evidence I was not able to inspect this compliance item. No further action is required. Reference Picture(s) N/A Governing Rule: N/A Compliance Item #11: Improper troweling technique was used to lay large format tile. As a result, some of the tiles have large air-pockets under the tiles that make them susceptible to cracking under light loads and impact. Investigator’s Observation: Not Verified The Complainant pointed out several areas that he believed had air pockets. I inspected the flooring the Complainant pointed out, I noted there was one small area (within one tile) that had a hollow sound. The tile appeared to be well bonded to the sub-floor. This condition is acceptable if it is not extensive and the tile is solidly bonded to the floor membrane. No further action is required.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov C009 04/21 Katie Hobbs, Governor Martín Quezada, Director

contractor’s work has been subject to neglect, modification, or abuse (A.R.S. § 32- 1155(D). No further action is required. Reference Picture(s) N/A Governing Rule: N/A

Please direct all questions regarding this Directive to the undersigned Investigator.

Sincerely,

Mark Nipp Mark Nipp, Investigator (602) 771-6740 [email redacted] 1700 W Washington St, Suite 105 Phoenix, AZ 85007

CC: Respondent Complainant

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov C009 04/21 Katie Hobbs, Governor Martín Quezada, Director

Complainant: Steven wade 8404 S Kachina Dr Tempe, AZ 85284

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov

C012 05/21 Katie Hobbs, Governor Martín Quezada, Director

Respondent: Horton Enterprises LLC DBA: D&D Construction & Home Improvement PO Box 23384 Phoenix, AZ 85063

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov

C012 05/21 Katie Hobbs, Governor Martín Quezada, Director April 5, 2023

Compliance Jobsite Inspection Notice Re: Complaint No. 2022-10867

Dear Complainant and Respondent:

A Compliance Inspection has been scheduled for April 18, 2023 at 11:30 AM to determine the current status of the items listed on the issued Directive.

The Complainant is required to be present for this inspection. The Respondent is encouraged to be present but is not required to attend.

Complainant: SAFE ACCESS IS REQUIRED TO ANY AREA TO BE INSPECTED.

Sincerely,

Mark Nipp Mark Nipp, Investigator (602) 771-6740 [email redacted] 1700 W Washington St, Suite 105 Phoenix, AZ 85007

CC: Complainant Respondent

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov

C012 05/21 Katie Hobbs, Governor Jeffrey L. Fleetham, Director

Jobsite Inspection Notes

Case No.: 2022-10867 Investigator: Mark Nipp Inspection Date: January 11, 2023 Inspection Time: 10:30 AM

Complainant: Steven and April Respondent: Horton Enterprises Wade LLC (Dion Horton) Not Present: Not Present:

Jobsite General Notes: N/A 04/18/2023: At the CJSI, the Complainant showed me new evidence of Compliance Item #5. I reviewed this evidence with the consent of the Respondent. The new evidence (camera scope) revealed poor workmanship. Subsequently, I rescinded the Written Directive dated 02/08/2023 and AMENDED these Jobsite Inspection Notes. A new Written Directive will be issued with the remaining item not corrected (Compliance Item #9) along with Complaince Item #5. All remaining compliance items were corrected within acceptable minimum workmanship standards and do not require further action from the Respondent.

Compliance Item #1: South shower wall was framed by the contractor with a sloped (crocked - or not plumb- not square with the floor/ceiling), this also shows in the tile work. Investigator’s Observation: Corrected by Respondent The corner of the shower enclosure (left of shower head) is not plumb or flat. I measured the area with a four foot level and noted there was a gap that exceeded 3/16 inch. A contractor shall perform all work in a professional and workmanlike manner. The respondent should correct by appropriate means, pursuant to the contract, applicable building codes, and within the scope of their license. Reference Picture(s) 2-3 Governing Rule: N/A

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov RCC100 08/19

installed, the Complainant signed a change order to add the curb. When the curb was added it made the drain off center with the fixtures and drain that had already been installed. I saw that the drain was not centered on the other plumbing fixtures. However, based on the change order, this item is not the responsibility of the Respondent. No further action is required. Reference Picture(s) 4-5 Governing Rule: N/A

Compliance Item #5: The copper lines that come through the slab were imbedded in the concrete; the older construction placed the copper lines in plastic sleeves where they penetrated the slab, presumably to provide relief as the concrete shifts and settles. Investigator’s Observation: Verified Compliance Jobsite Inspection 04/18/2023: At the CJSI, the Complainant showed me new evidence of Compliance Item #5. I reviewed this evidence with the consent of the Respondent. The new evidence (camera scope) revealed poor workmanship. Using the camera scope provided by the Complainant, I saw that the copper pipes in the bathroom appeared to be placed in direct contact with concrete (CJSI P7). 2018 International Residential Code (IRC), Section P2603.3 states, “Metallic piping, except for cast iron, ductile iron and galvanized steel, shall not be placed in direct contact with steel framing members, concrete or masonry. Metallic piping shall not be placed in direct contact with corrosive soil. Where sheathing is used to prevent direct contact, the sheathing material thickness shall be not less than 0.008 inch (8 mil) (0.203 mm) and shall be made of plastic. Where sheathing protects piping that penetrates concrete or masonry walls or floors, the sheathing shall be installed in a manner that allows movement of the piping within the sheathing.” ROC Workmanship Standards for Licensed Contractors (June 2009) states, R4- 9-108(B); in part, A contractor shall perform all work in accordance with any

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov RCC100 08/19

applicable building codes and professional industry standards…a contractor shall use such skills, prudence, and diligence in performing and completing tasks…A contractor shall perform all work in a professional and workmanlike manner. A.R.S. § 32-1154 (A)(2)(b): Departure from or disregard of: (b) A building code. The contractor should identify all locations where this condition exists and the respondent should correct by appropriate means, pursuant to the contract, applicable building codes, and within the scope of their license. Reference Picture(s) CJSI P7 Governing Rule: A.R.S. § 32-1154(A)(3); Violation of any rule adopted by the registrar; Namely R 4-9-108(a): A contractor shall perform work in a professional and workmanlike manner. Governing Rule: A.R.S. § 32-1154(A)(3); Violation of any rule adopted by the registrar; Namely R4-9-108(B); in part, A contractor shall perform all work in accordance with any applicable building codes and professional industry standards…a contractor shall use such skills, prudence, and diligence in performing and completing tasks…

Compliance Item #6: Many of the shower and tub trim kits were unpackaged for installation and then subsequently laid in piles on the ground - much of it is scratched and damaged. Investigator’s Observation: Corrected by Respondent Both parties agreed that the fixtures were about to be installed but the Respondent experienced a delay after the fixtures had been unpackaged. I saw that there were multiple fixtures laying in a pile on the corner. I saw examples of the damage to the finish of the fixtures. The contractor has a responsibility to provide fixtures in new condition. It is the Respondent’s responsibility to safeguard the uninstalled fixtures. The contractor should identify all fixtures where this condition exists and the respondent should correct by appropriate means, pursuant to the contract, applicable building codes, and within the scope of their license.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov RCC100 08/19

Reference Picture(s) 6-9 Governing Rule: N/A

Compliance Item #7: The tub was unpackaged for installation, and then subsequently not installed. It was not re-covered or re-packaged, and debris was allowed to collect in the tub (what looks to be thin-set and drywall chunks). It appears to be scratched now. Investigator’s Observation: Corrected by Respondent Both parties agreed that the fixtures were about to be installed but the Respondent experienced a delay after the fixtures had been unpackaged. I saw that the bath tub was covered in plastic; however, there was a large tear in the plastic on the top. There was debris inside the bath tub. I saw scratches on the interior surface of the bath tub. The contractor has a responsibility to provide fixtures in new condition. It is the Respondent’s responsibility to safeguard the uninstalled fixtures. The respondent should correct by appropriate means, pursuant to the contract, applicable building codes, and within the scope of their license. Reference Picture(s) 8, 10-11 Governing Rule: N/A

Compliance Item #8: The tile laid at the end of the pony wall that divides the shower area from the tub area is visibly not square. Investigator’s Observation: Corrected by Respondent The Complainant provided a carpenter’s square. I saw that the pony wall (end) was not square. A contractor shall perform all work in a professional and workmanlike manner. The respondent should correct by appropriate means, pursuant to the contract, applicable building codes, and within the scope of their license. Reference Picture(s) 12-13 Governing Rule: N/A

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov RCC100 08/19

Compliance Item #9: The tile floor is scratched now because it was done at the beginning of the project, and it was not protected as the contractor assured it would be. Subsequent construction was carried out and the floor has been damaged. Investigator’s Observation: Verified – Corrective work was conducted; however the condition remains. Compliance Jobsite Inspection 04/18/2023: I saw there were still scratches throughout the floor. The flooring material is porcelain which is very hard and not suitable for extensive mechanical polishing/buffing. The color layer of porcelain tile is essentially “printed” on the surface and then hardened. The scratches are not visible in the photographs; however, they were readily visible to the eye. The significant amount of remaining scratches on the porcelain tiles are not acceptable. Jobsite Inspection 01/11/2023: The Complainant explained that the tile was installed before any other work was done and the workers did not cover the flooring to protect it. I saw there were small scratches on the floor surface in the primary bedroom and bathroom. I noted there was a substantial amount of construction debris on the floor and there was no apparent effort to protect the flooring. The Respondent is responsible for safeguarding the installed flooring while additional construction takes place. The contractor should identify all locations where this condition exists and the respondent should correct by appropriate means, pursuant to the contract, applicable building codes, and within the scope of their license. Reference Picture(s) 14-15 Governing Rule: Violation of any rule adopted by the registrar; Namely R 4-9-108(a): A contractor shall perform work in a professional and workmanlike manner.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov RCC100 08/19

I was not able to inspect this compliance item. No further action is required. Reference Picture(s) N/A Governing Rule: N/A

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov RCC100 08/19

Sloped sills are not required by code. This compliance items does not indicate poor work. No further action is required. Reference Picture(s) 16-20 Governing Rule: N/A

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov RCC100 08/19

Compliance Item #17: In the primary area of the bedroom, the drywall on the south wall, the outlets have been encased in mud such that that an outlet bezel can’t be installed. Investigator’s Observation: Corrected by Respondent I saw that three outlets in the primary bedroom had been completely sealed in the electrical box with drywall. The screw holes to attach a cover plate had been covered. A contractor shall perform all work in a professional and workmanlike manner. The respondent should correct by appropriate means, pursuant to the contract, applicable building codes, and within the scope of their license. Reference Picture(s) 29-32 Governing Rule: N/A

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov RCC100 08/19

I saw there were two patches made to the roof that appeared to have been done with an oil-based tar product. There was Insufficient Evidence to determine if the roof patch was compatible with the existing roof system. No further action is required. Reference Picture(s) 33-34 Governing Rule: N/A

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov RCC100 08/19

Complaint #2022-10867 P 1 CJSI Date 4/18/2023 at 11:30 AM CJSI PHOTOS Complaint #2022-10867 P 2 CJSI Date 4/18/2023 at 11:30 AM CJSI PHOTOS Complaint #2022-10867 P 3 CJSI Date 4/18/2023 at 11:30 AM CJSI PHOTOS Complaint #2022-10867 P 4 CJSI Date 4/18/2023 at 11:30 AM CJSI PHOTOS Complaint #2022-10867 P 5 CJSI Date 4/18/2023 at 11:30 AM CJSI PHOTOS Complaint #2022-10867 P 6 CJSI Date 4/18/2023 at 11:30 AM CJSI PHOTOS Complaint #2022-10867 P 7 CJSI Date 4/18/2023 at 11:30 AM CJSI PHOTOS Katie Hobbs, Governor Martín Quezada, Director

Complainant: Steven Wade 8404 S Kachina Dr. Tempe, AZ 85284

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov C009 04/21 Katie Hobbs, Governor Martín Quezada, Director

Respondent: Horton Enterprises LLC DBA: D&D Construction & Home Improvement PO Box 23384 Phoenix, AZ 85063

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov C009 04/21 Katie Hobbs, Governor Martín Quezada, Director

July 13, 2023

License No. ROC 309645

Re:Complaint No. 2022-10867

WRITTEN DIRECTIVE FROM THE REGISTRAR

Dear Respondent:

RESTRICTIONS  You may not perform or hire other contractors to perform work that is outside the scope of your license.  If your license is currently suspended for administrative reasons1, or is inactive, expired, or cancelled, you may not perform any corrective work nor contract in any manner, which includes hiring other contractors to perform work, until the suspension of your license(s) has been lifted or your license(s) has been reactivated.

DIRECTIVE REQUIREMENTS You are directed to remedy the following violations by the appropriate means:

This means the license is suspended for lack of qualifying party, lack of bond, nonrenewal, Recovery Fund payout, or for any reason listed in A.R.S. § 32-1124(F).

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov C009 04/21 Katie Hobbs, Governor Martín Quezada, Director

At the CJSI, the Complainant showed me new evidence of Compliance Item #5. I reviewed this evidence with the consent of the Respondent. The new evidence (camera scope) revealed poor workmanship. Using the camera scope provided by the Complainant, I saw that the copper pipes in the bathroom appeared to be placed in direct contact with concrete (CJSI P7). 2018 International Residential Code (IRC), Section P2603.3 states, “Metallic piping, except for cast iron, ductile iron and galvanized steel, shall not be placed in direct contact with steel framing members, concrete or masonry. Metallic piping shall not be placed in direct contact with corrosive soil. Where sheathing is used to prevent direct contact, the sheathing material thickness shall be not less than 0.008 inch (8 mil) (0.203 mm) and shall be made of plastic. Where sheathing protects piping that penetrates concrete or masonry walls or floors, the sheathing shall be installed in a manner that allows movement of the piping within the sheathing.” ROC Workmanship Standards for Licensed Contractors (June 2009) states, R4- 9-108(B); in part, A contractor shall perform all work in accordance with any applicable building codes and professional industry standards…a contractor shall use such skills, prudence, and diligence in performing and completing tasks…A contractor shall perform all work in a professional and workmanlike manner. A.R.S. § 32-1154 (A)(2)(b): Departure from or disregard of: (b) A building code. The contractor should identify all locations where this condition exists and the respondent should correct by appropriate means, pursuant to the contract, applicable building codes, and within the scope of their license. Reference Picture(s) CJSI P7 Governing Rule: A.R.S. § 32-1154(A)(3); Violation of any rule adopted by the registrar; Namely R 4-9-108(a): A contractor shall perform work in a professional and workmanlike manner.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov C009 04/21 Katie Hobbs, Governor Martín Quezada, Director

Governing Rule: A.R.S. § 32-1154(A)(3); Violation of any rule adopted by the registrar; Namely R4-9-108(B); in part, A contractor shall perform all work in accordance with any applicable building codes and professional industry standards…a contractor shall use such skills, prudence, and diligence in performing and completing tasks…

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov C009 04/21 Katie Hobbs, Governor Martín Quezada, Director

Reference Picture(s) 14-15 Governing Rule: Violation of any rule adopted by the registrar; Namely R 4-9-108(a): A contractor shall perform work in a professional and workmanlike manner.

ITEMS NOT REQUIRING CORRECTION The following complaint items require no action by the Respondent:

Compliance Item #1: South shower wall was framed by the contractor with a sloped (crocked - or not plumb- not square with the floor/ceiling), this also shows in the tile work. Investigator’s Observation: Corrected by Respondent The corner of the shower enclosure (left of shower head) is not plumb or flat. I measured the area with a four foot level and noted there was a gap that exceeded 3/16 inch. A contractor shall perform all work in a professional and workmanlike manner. The respondent should correct by appropriate means, pursuant to the contract, applicable building codes, and within the scope of their license. Reference Picture(s) 2-3 Governing Rule: N/A

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov C009 04/21 Katie Hobbs, Governor Martín Quezada, Director

Compliance Item #4: The shower drain is 3" off center in the east-west direction of the shower Investigator’s Observation: Not Verified – Although the conditions described are present, they are not verified as the responsibility of the respondent. Both parties explained that the original design did not include a curb for the shower. However, after the wall tiles drain, floor tiles and fixtures had been installed, the Complainant signed a change order to add the curb. When the curb was added it made the drain off center with the fixtures and drain that had already been installed. I saw that the drain was not centered on the other plumbing fixtures. However, based on the change order, this item is not the responsibility of the Respondent. No further action is required. Reference Picture(s) 4-5

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov C009 04/21 Katie Hobbs, Governor Martín Quezada, Director

Governing Rule: N/A

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov C009 04/21 Katie Hobbs, Governor Martín Quezada, Director

fixtures in new condition. It is the Respondent’s responsibility to safeguard the uninstalled fixtures. The respondent should correct by appropriate means, pursuant to the contract, applicable building codes, and within the scope of their license. Reference Picture(s) 8, 10-11 Governing Rule: N/A

Compliance Item #10: The concrete was not properly prepared prior to laying tile, planed concrete joints and cracks were not covered with elastomeric barrier. Investigator’s Observation: Not Verified - Insufficient Evidence I was not able to inspect this compliance item. No further action is required. Reference Picture(s) N/A Governing Rule: N/A

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov C009 04/21 Katie Hobbs, Governor Martín Quezada, Director

The Complainant pointed out several areas that he believed had air pockets. I inspected the flooring the Complainant pointed out, I noted there was one small area (within one tile) that had a hollow sound. The tile appeared to be well bonded to the sub-floor. This condition is acceptable if it is not extensive and the tile is solidly bonded to the floor membrane. No further action is required. Reference Picture(s) N/A Governing Rule: N/A

Compliance Item #13: The newly added windows do not have a sloped sill and do not match the other rectangular window installations in the house Investigator’s Observation: Not Verified – This compliance item does not indicate poor workmanship or a violation of A.R.S. § 32-1154(A). Sloped sills are not required by code. This compliance items does not indicate poor work. No further action is required. Reference Picture(s) 16-20 Governing Rule: N/A

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov C009 04/21 Katie Hobbs, Governor Martín Quezada, Director

Compliance Item #16: 2 existing windows in the structure were replaced. The windows appear to be "pressed" into the opening causing the frame to be distorted, the screen and sash do not seat properly in the bottom of the window. Investigator’s Observation: Corrected by Respondent The Complainant demonstrated that the two windows in the primary bedroom did not completely close. I inspected the windows and noted they had a high spot in the center of the window and the window panel could be rocked up/down to either side. The

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov C009 04/21 Katie Hobbs, Governor Martín Quezada, Director

windows did not close completely and latching/unlatching was not consistent. Windows should operate smoothly with reasonable ease and should be able to close completely. The respondent should correct by appropriate means, pursuant to the contract, applicable building codes, and within the scope of their license. Reference Picture(s) 24-28 Governing Rule: N/A

Compliance Item #17: In the primary area of the bedroom, the drywall on the south wall, the outlets have been encased in mud such that that an outlet bezel can’t be installed. Investigator’s Observation: Corrected by Respondent I saw that three outlets in the primary bedroom had been completely sealed in the electrical box with drywall. The screw holes to attach a cover plate had been covered. A contractor shall perform all work in a professional and workmanlike manner. The respondent should correct by appropriate means, pursuant to the contract, applicable building codes, and within the scope of their license. Reference Picture(s) 29-32 Governing Rule: N/A

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov C009 04/21 Katie Hobbs, Governor Martín Quezada, Director

Reference Picture(s) 33-34 Governing Rule: N/A

Please direct all questions regarding this Directive to the undersigned Investigator.

Sincerely,

Mark Nipp Mark Nipp, Investigator (602) 771-6740 [email redacted] 1700 W Washington St, Suite 105 Phoenix, AZ 85007

CC: Respondent Complainant

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812 602.542.1525 · Within AZ 877.692.9762 · Fax 602.542.1599 · roc.az.gov C009 04/21 Complainant: Steven wade 8404 S Kachina Dr. Tempe, AZ 85284

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov

C012 05/21 Respondent: Horton Enterprises LLC DBA: D&D Construction & Home Improvement PO Box 23384 Phoenix, AZ 85063

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov

C012 05/21 August 4, 2023

Compliance Jobsite Inspection Notice Re: Complaint No. 2022-10867

Dear Complainant and Respondent:

A Compliance Inspection has been scheduled for August 16, 2023 at 11:00 AM to determine the current status of the items listed on the issued Directive.

The Complainant is required to be present for this inspection. The Respondent is encouraged to be present but is not required to attend.

Complainant: SAFE ACCESS IS REQUIRED TO ANY AREA TO BE INSPECTED.

Sincerely,

Mark Nipp Mark Nipp, Investigator 602 7716740 [email redacted] 1700 W Washington St, Suite 105 Phoenix, AZ 85007

CC: Complainant Respondent

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov

C012 05/21 Horton Enterprises LLC D&D Construction & Home Improvement 3744 W Roanoke Ave Ste 6 Phoenix, AZ 85009-1330

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov

C012 05/21 Complainant: Steven Wade 8404 S Kachina Dr. Tempe, AZ 85284

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov

C012 05/21 Respondent: Horton Enterprises LLC DBA: D&D Construction & Home Improvement PO Box 23384 Phoenix, AZ 85063

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov

C012 05/21 August 7, 2023

Compliance Jobsite Inspection Notice Re: Complaint No. 2022-10867

Dear Complainant and Respondent:

Due to a conflict in scheduling of one of the parties, the compliance jobsite inspection scheduled for August 16, 2023 at 9:30 AM has been rescheduled for August 23, 2023 at 11:00 AM to determine the current status of the items listed on the issued Directive.

The Complainant is required to be present for this inspection. The Respondent is encouraged to be present but is not required to attend.

Complainant: SAFE ACCESS IS REQUIRED TO ANY AREA TO BE INSPECTED.

Sincerely,

Mark Nipp Mark Nipp, Investigator 602 7716740 [email redacted] 1700 W Washington St, Suite 105 Phoenix, AZ 85007

CC: Complainant Respondent

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov

C012 05/21 Horton Enterprises LLC D&D Construction & Home Improvement 3744 W Roanoke Ave Ste 6 Phoenix, AZ 85009-1330

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov

C012 05/21 Complainant: Steven Wade 8404 S Kachina Dr. Tempe, AZ 85284

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 4/21 Respondent: Horton Enterprises LLC DBA: D&D Construction & Home Improvement PO Box 23384 Phoenix, AZ 85063

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 4/21 Case No.: 2022-10867 Investigator: Mark Nipp Inspection Date: August 23, 2023 Inspection Time: 11:00 AM

Compliance Jobsite General Notes: The Respondent left me a voicemail on the day of the Compliance Jobsite Inspection indicating he would not be able to attend because of an early release at his child’s school. After the Compliance Jobsite Inspection was completed, a representative of the Respondent, Brittany Lewis, arrived. I briefly spoke to her and the Respondent (via telephone).

At the CJSI, the Complainant showed me new evidence of Compliance Item #5. I reviewed this evidence with the consent of the Respondent. The new evidence (camera scope) revealed poor workmanship. Subsequently, I rescinded the Written Directive dated 02/08/2023 and AMENDED the Jobsite Inspection Notes. A new Written Directive was issued with the remaining items that had not been corrected (Compliance Item #9 along with Compliance Item #5). All remaining compliance items were corrected within acceptable minimum workmanship standards and did not require further action from the Respondent.

Compliance Findings:

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 4/21 Written Directive – 07/13/2023 At the CJSI, the Complainant showed me new evidence of Compliance Item #5. I reviewed this evidence with the consent of the Respondent. The new evidence (camera scope) revealed poor workmanship. Using the camera scope provided by the Complainant, I saw that the copper pipes in the bathroom appeared to be placed in direct contact with concrete (CJSI P7). 2018 International Residential Code (IRC), Section P2603.3 states, “Metallic piping, except for cast iron, ductile iron and galvanized steel, shall not be placed in direct contact with steel framing members, concrete or masonry. Metallic piping shall not be placed in direct contact with corrosive soil. Where sheathing is used to prevent direct contact, the sheathing material thickness shall be not less than 0.008 inch (8 mil) (0.203 mm) and shall be made of plastic. Where sheathing protects piping that penetrates concrete or masonry walls or floors, the sheathing shall be installed in a manner that allows movement of the piping within the sheathing.” ROC Workmanship Standards for Licensed Contractors (June 2009) states, R4-9-108(B); in part, A contractor shall perform all work in accordance with any applicable building codes and professional industry standards…a contractor shall use such skills, prudence, and diligence in performing and completing tasks…A contractor shall perform all work in a professional and workmanlike manner. A.R.S. § 32-1154 (A)(2)(b): Departure from or disregard of: (b) A building code. The contractor should identify all locations where this condition exists and the respondent should correct by appropriate means, pursuant to the contract, applicable building codes, and within the scope of their license. Reference Picture(s) CJSI P7 Governing Rule: A.R.S. § 32-1154(A)(3); Violation of any rule adopted by the registrar; Namely R 4-9-108(a): A contractor shall perform work in a professional and workmanlike manner. Governing Rule: A.R.S. § 32-1154(A)(3); Violation of any rule adopted by the registrar; Namely R4-9-108(B); in part, A contractor shall perform all work in accordance with any applicable building codes and professional industry standards…a contractor shall use such skills, prudence, and diligence in performing and completing tasks…

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 4/21 Compliance Item #9: The tile floor is scratched now because it was done at the beginning of the project, and it was not protected as the contractor assured it would be. Subsequent construction was carried out and the floor has been damaged. Investigator’s Observation: Verified – Corrective work was conducted; however the condition remains. Compliance Jobsite Inspection 08/23/2023: I visually inspected the floor tiles using the following method: “When visually inspecting finished ceramic, stone, and glass tile installations, do so without magnification under the permanent intended lighting (artificial and/or natural) and without the use of additional lighting such as flashlight, spotlights, or temporary lights. View the installation 36” from walls and 60” or normal standing height from floors. Recognizing the hand-built aspect of tile installations, any aesthetic concerns not visible at these distances (but apparent at closer distances) are acceptable.” I saw there were multiple areas within the primary bedroom/bathroom floor that were scratched and visible under the permanent intended lighting from the standing position. Upon closer inspection, I noted that each area could also be felt under my fingernail. The Respondent has not complied with the Written Directive dated 07/13/2023.

Compliance Jobsite Inspection 04/18/2023: I saw there were still scratches throughout the floor. The flooring material is porcelain which is very hard and not suitable for extensive mechanical polishing/buffing. The color layer of porcelain tile is essentially “printed” on the surface and then hardened. The scratches are not visible in the photographs; however, they were readily visible to the eye. The significant amount of remaining scratches on the porcelain tiles are not acceptable. Jobsite Inspection 01/11/2023: The Complainant explained that the tile was installed before any other work was done and the workers did not cover the flooring to protect it.

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 4/21 I saw there were small scratches on the floor surface in the primary bedroom and bathroom. I noted there was a substantial amount of construction debris on the floor and there was no apparent effort to protect the flooring. The Respondent is responsible for safeguarding the installed flooring while additional construction takes place. The contractor should identify all locations where this condition exists and the respondent should correct by appropriate means, pursuant to the contract, applicable building codes, and within the scope of their license. Reference Picture(s) 14-15 Governing Rule: Violation of any rule adopted by the registrar; Namely R 4-9- 108(a): A contractor shall perform work in a professional and workmanlike manner.

Note: Please review the complaint items listed above. If any of the items have not been corrected at the time of the compliance inspection this complaint will be forwarded to the Registrar’s legal department and a citation may be issued.

If all items are corrected after receipt of this letter, please notify the Registrar’s legal department by sending a notice of compliance signed by the complainant to fax number (602) 364-0416 or by mail to: Arizona Registrar of Contractors, P.O. Box 18244, Phoenix, Arizona 85005-8244. Sincerely,

Mark Nipp Mark Nipp, Investigator 602 7716740 [email redacted] 1700 W Washington St, Suite 105 Phoenix, AZ 85007

CC: Complainant Respondent

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov C013 4/21 Complaint #2022-10867 P 1 CJSI Date 8/23/2023 at 11:00 AM CJSI PHOTOS Complaint #2022-10867 P 2 CJSI Date 8/23/2023 at 11:00 AM CJSI PHOTOS Complaint #2022-10867 P 3 CJSI Date 8/23/2023 at 11:00 AM CJSI PHOTOS Complaint #2022-10867 P 4 CJSI Date 8/23/2023 at 11:00 AM CJSI PHOTOS Complaint #2022-10867 P 5 CJSI Date 8/23/2023 at 11:00 AM CJSI PHOTOS Complaint #2022-10867 P 6 CJSI Date 8/23/2023 at 11:00 AM CJSI PHOTOS Complaint #2022-10867 P 7 CJSI Date 8/23/2023 at 11:00 AM CJSI PHOTOS

Scratches do not show up well in photographs. The circled area is the best photographic example. Complaint #2022-10867 P 8 CJSI Date 8/23/2023 at 11:00 AM CJSI PHOTOS Complaint #2022-10867 P 9 CJSI Date 8/23/2023 at 11:00 AM CJSI PHOTOS Complaint #2022-10867 P 10 CJSI Date 8/23/2023 at 11:00 AM CJSI PHOTOS Complaint #2022-10867 P 11 CJSI Date 8/23/2023 at 11:00 AM CJSI PHOTOS REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

Steven Wade, Case No. 2022-10867 COMPLAINANT, v. Horton Enterprises LLC CITATION DBA: D&D Construction & Home Improvement License No. ROC 309645, RESPONDENT.

The Registrar issues this Citation to Horton Enterprises LLC DBA: D&D Construction & Home Improvement (“Respondent”) under A.R.S. § 32-1155(A). If Respondent fails to answer this Citation by September 14, 2023, then under A.R.S. § 32-1155(C), Respondent’s failure to answer may be deemed an admission of the act or acts charged in the underlying complaint, and the Registrar may then suspend or revoke Respondent’s license(s). THE WRITTEN COMPLAINT On November 30, 2022, Steven Wade (“Complainant”) filed a written complaint with the Registrar. A copy of that Complaint is attached to this Citation. A FORMAL STATEMENT OF THE CHARGES AGAINST RESPONDENT The Registrar investigated this matter and finds cause to charge Respondent with violation(s) of Title 32, Chapter 10 of the Arizona Revised Statutes. Respondent is charged with violating: Charge :1 A.R.S. § 32-1154(A)(3) - R4-9-108(a) of 6

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(a): A contractor shall perform all work in a professional and workmanlike manner. Charge :2 A.R.S. § 32-1154(A)(3) - R4-9-108(a) Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(a): A contractor shall perform all work in a professional and workmanlike manner. Charge :3 A.R.S. § 32-1154(A)(22) Failure to take appropriate corrective action to comply with this chapter or with rules adopted pursuant to this chapter without valid justification within a reasonable period of time after receiving a written directive from the Registrar. The written directive shall set forth the time within which the contractor is to complete the remedial action. The time permitted for compliance shall not be less than fifteen days from the date of issuance of the directive. A license shall not be revoked or suspended nor shall any other penalty be imposed for a violation of this paragraph until after a hearing has been held. If the matter proceeds to a hearing and the administrative law judge determines that any of the charges listed above are supported by a preponderance of the evidence, then Respondent’s license(s) may be subject to suspension or revocation, and Respondent may be subject to other penalties provided by law, including civil penalties under A.R.S. §§ 32-1154(E) and (F). FILING A WRITTEN ANSWER Respondent must appear by filing with the Registrar a written answer to the citation and complaint showing cause, if any, why Respondent’s license(s) should not be suspended or revoked. A.R.S. § 32-1155(A). Respondent’s written answer should contain the heading “Written Answer to Citation and Complaint” and should include the case number, which is Case No. 2022-10867. of 6

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 How to File a Written Answer: Respondent’s written answer may be submitted in the following ways: In-Person: 1700 W. Washington St., Ste. 105, Phoenix, Arizona, 85007-2812 Mail: P.O. Box 18244, Phoenix, Arizona, 85005-8244 Email: [email redacted] The Registrar’s normal office hours are 8:00 a.m. to 5:00 p.m., Monday through Friday. If Respondent submits a written answer by mail, it is not filed with the Registrar until the Registrar actually receives it. Deadline for Filing a Written Answer: Respondent must file a written answer with the Registrar no later than September 14, 2023. This deadline is calculated under A.R.S. §§ 32-1155(A) and (B), which provides a deadline ten days after service of the Citation. Service of the Citation and Complaint is complete five days after the Registrar mails a copy of the Citation and Complaint to Respondent’s latest address of record in the Registrar’s office. Consequences for Failing to File a Written Answer: If Respondent fails to answer, Respondent’s failure may be deemed an admission of the act or acts charged in the written complaint. A.R.S. § 32-1155(C). The Registrar may then suspend or revoke Respondent’s license(s). THE ADMINISTRATIVE HEARING If Respondent files a timely written answer contesting any charges in the Complaint, then the Registrar will request the Office of Administrative Hearings set a date for an administrative hearing and will notify all the parties at least 30 days before that hearing. A.R.S. § 41-1092.05(D). INVESTIGATOR’S APPEARANCE AS A WITNESS The Registrar’s assigned investigator will appear as a witness at the hearing. If either party demands the attendance at the hearing of any other person, that party must obtain and of 6

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 serve a subpoena in compliance with the rules and processes established by the Office of Administrative Hearings. RESPONDENT’S RIGHT TO REQUEST AN INFORMAL SETTLEMENT CONFERENCE Under A.R.S. § 41-1092.06, if Respondent submits a request to the Registrar for an informal settlement conference, the Registrar must hold a conference within 15 days after receiving the request. Respondent’s request for an informal settlement conference must be in writing and must be filed no later than 20 days before the administrative hearing. A.R.S. § 41- 1092.06(A). The Registrar will not close or settle any case without both parties’ appearance at the Settlement Conference. The parties participating in the settlement conference must have the authority to settle the case and must waive their right to object to the participation of the Registrar’s settlement conference representative in the final administrative decision. A.R.S. § 41-1092.06(B). Any statements, either written or oral, made by the parties at the conference, including a written document, created or expressed solely for the purpose of settlement negotiations, are inadmissible in the administrative hearing. A.R.S. § 41-1092.06(B). RESPONDENT’S PRIOR RECORD Under A.A.C. R4-9-117, in determining the appropriate discipline, the administrative law judge and the Registrar may consider not only facts in the current case, but also facts in prior cases and any documents regarding Respondent on file with the Registrar. Respondent’s prior disciplinary record and current license(s) status may be considered as a mitigating or aggravating factor in determining the appropriate discipline. EVIDENTIARY DISCLAIMER By issuing this Citation, the Registrar is directing Respondent to file a written answer to the Citation and Complaint, showing cause, if any, why Respondent’s license(s) should not be of 6

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 suspended or revoked. A.R.S. § 32-1155(A). This Citation does not constitute proof that any charge or allegation in Complainant’s written complaint is in fact true. This Citation does not constitute proof that Respondent violated any statutory provision or rule adopted by the Registrar. Dated August 30, 2023. By: /s/ Erin Johnson Erin Johnson Legal Assistant II Legal Department Arizona Registrar of Contractors COPY of the foregoing mailed by Certified Mail, Return Receipt Requested, August 30, 2023 to: Respondent Certified Mail No: [number redacted] Horton Enterprises LLC DBA: D&D Construction & Home Improvement PO Box 23384 Phoenix, AZ 85063

Respondent Certified Mail No: [number redacted]

Horton Enterprises LLC DBA: D&D Construction & Home Improvement 3744 W. Roanoke Ave. Ste. 6 Phoenix, AZ 85009-1330 Copy mailed by USPS First Class mail this same date to: Horton Enterprises LLC DBA: D&D Construction & Home Improvement PO Box 23384 Phoenix, AZ 85063 of 6

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 Horton Enterprises LLC DBA: D&D Construction & Home Improvement 3744 W. Roanoke Ave. Ste. 6 Phoenix, AZ 85009-1330

Complainant Steven Wade 8404 S Kachina Dr. Tempe, AZ 85284 Complainant’s Attorney Verrin Kewenvoyouma, Esq. 700 E. Baseline Rd. #C-1 Tempe, AZ 85283 Copy sent electronically this same date to: Respondent at email address on record with the Registrar Complainant at email address on record with the Registrar Complainant’s Attorney at email address of record with Registrar

Case No. 2022-10867 / EJ

of 6

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 Licensed Complaint Form Departmental Use Only For Current or Suspended Licensees

Person Filing Complaint Full Name (First Middle Last) Business Name (if a licensed contractor or supplier) ROC License Number(s) (if any)

Steven wade Mailing Address (Enter jobsite in Contract/Project section) City State Zip

8404 s kachina dr tempe Arizona 85284 Phone Number Email

(480) 355-7709 [email redacted] I consent to receive communications electronically in connection with this case Name of Attorney (if any)

Verrin Kewenvoyouma Street Address of Attorney City State Zip

700 e Baseline Rd, #C-1 Tempe Arizona 85283 Phone Number of Attorney Email of Attorney

[number redacted] Contractor Information Name (as shown on contract/invoice) ROC License Number(s)

Horton Enterprises LLC ROC 309645 Street Address City State Zip

PO Box 23384 Phoenix AZ 85063 Phone Number Email

[number redacted] [email redacted] Name of Person(s) Representing License

Dion Horton Jr Contract/Project Information Contract Date Contract Amount Amount Paid

July 13, 2022 $47,662.28 $45,680.38 Date Work Started Date Work Stopped Date Work Was Completed

July 18, 2022 November 11, 2022 Close of Escrow (New Home) Move-In Date (New-Home)

Jobsite Street Address City State Zip

8404 s kachina dr tempe AZ 85212 Name of Construction Site Owner Construction Site Name (if applicable)

April Olson Phone Number of Construction Site Owner Email of Construction Site Owner

[number redacted] [email redacted] This complaint is for Abandonment;Poor Work;Other I have contacted the contractor by Phone/Text;Email Have you filed a complaint in court? No

RCC099 12/05/18 Page 1 of 3 Licensed Complaint Form Departmental Use Only For Current or Suspended Licensees

Has any work been corrected? No

The contract was Written All change orders were Both This project was Residential This project involved Remodel

A building permit was obtained by N/A List and briefly describe each complaint item (Please do not write "see attached" or use additional pages unless necessary to further describe issues or list more complaint items) (limited to 100 characters per line)

South shower wall was framed by the contractor with a sloped (crocked - or not plumb- not square with the floor/ceiling), this also shows in the tile work.; - Southeast corner of shower (which is the focal point of the shower when you walk into the bathroom) was not laid with full tiles, it was formed with one full tile and one cut tile and it looks terrible. two full tiles should have made up the corner and then the cut tiles should have ended up at either end of each wall, away from the focal point.; - Shower pan is unevenly formed; it's not sloped uniformly and visually looks bad; - The shower drain is 3" off center in the east-west direction of the shower; - the copper lines that come through the slab were imbedded in the concrete; the older construction placed the copper lines in plastic sleeves where they penetrated the slab., presumably to provide relief as the concrete shifts and settles.; - Many of the shower and tub trim kits were unpackaged for installation and then subsequently laid in piles on the ground - much of it is scratched and damaged.; - The tub was unpackaged for installation, and then subsequently not installed. it was not re-covered or re-packaged, and debris was allowed to collect in the tub (what looks to be thin-set and drywall chunks). it appears to be scratched now.; - The tile laid at the end of the pony wall that divides the shower area from the tub area is visibly not square.; - the tile floor is scratched now because it was done at the beginning of the project, and it was not protected as the contractor assured it would be. subsequent construction was carried out and the floor has been damaged. I have pictures of workers standing in piles of debris on the uncovered floors. ; - the concrete was not properly prepared prior to laying tile, planed concrete joints and cracks were not covered with elastomeric barrier. ; - improper troweling technique was used to lay large format tile. As a result, some of the tiles have large air-pockets under the tiles that make them susceptible to cracking under light loads and impact.; - new windows were added to the structure. Lintels were not installed in a timely fashion and a crack has formed above one of the windows in the concrete wall. ; the newly added windows do not have a sloped sill and do not match the other rectangular window installations in the house; the newly added windows are not installed at the correct depth and the installation does not match other rectangular window installations in the house.; the newly installed windows are installed improperly.; existing windows in the structure were replaced. the windows appear to be "pressed" into the opening causing the frame to be distorted, the screen and sash do not seat properly in the bottom of the window. ; in the primary area of the bedroom, the drywall on the south wall, the outlets have been encased in mud such that that a outlet bezel cant be installed. ; - the existing structure has a foam roof with elastomeric coating. the new penetrations to the roof were not completed in a manner consistent with the existing construction.; we have approached the contractor in good faith to resolve some of these issues and contractor was not receptive to making any repairs. ; contract states that final payment is due on final walk through and inspection. contractor is demanding full payment prior to final walk through and prior to completing any other work . ; Contractor refuses to give code to lock box so that we can retrieve house key during this stop work. we have subsequently had to remove the door handle and replace door hardware. ; Contractor will not give revised schedule for work not yet completed nor will he provide a schedule to complete repairs.; contractor has refused to negotiate any of these requests and has ignored calls made in an attempt to resolve these issues.; prior to executing a change order, contractor agreed to prioritize drywall work and painting in our living room and dining room. contractor agreed to complete this work while we were on vacation starting on october 27th and ending on november 12th We executed a change order to add the paint and paid that change order in full. the dry wall work was already agreed to, and on contract as an individual line item. prior to the 27th we removed all furniture and items from the living room and dining room, locating them in the remaining free areas of the house. during vacation we periodically checked in on the progress no updates to progress. on return from our vacation we realized that the contractor failed to complete required patch work per our agreement and instead painted the over the areas needing tape and texture. contractor also painted the

RCC099 12/05/18 Page 2 of 3 Licensed Complaint Form Departmental Use Only For Current or Suspended Licensees

dining room ceiling the incorrect color. when approached about this he informed us that he changed the approach/order and decided to complete the drywall repair later without consulting us. we expressed our concerns including the fact that our house was unlivable due to the relocation of furniture, and we need a better plan for finishing the work so that we could put our house back together due to family coming for thanksgiving. contractor was asked for a schedule to complete the repair work on the 12th and he did not respond. 4 days later we attempted to contact him again to execute a change order to remove the drywall repairs from the contract so that we could get it completed and he did not respond. At this point, with no communication from our contractor, we hired an independent drywall repairman to fix the drywall. we then repainted the wall and corrected the color in the dining room. upon learning of the dry wall repair being completed the contractor became agitated and claimed that all warranties for all areas of the project were now void. we tried to rectify the situation and were unsuccessful.

Signature I declare under penalty of perjury that the information and documents contained on this Complaint Form, included with this complaint, or hereafter submitted in support of this complaint are true and accurate to the best of my knowledge. I will assist in the investigation or in the prosecution of the contractor or other parties, and will, if necessary, attend hearings and testify to facts. Printed Name Signature Date

Steven wade \complainant1\ \complainantd1\

RCC099 12/05/18 Page 3 of 3 DocuSign Envelope ID: 2A817F31-BE71-448E-999C-72B93C7CFEBF

Contract D&D Construction & Home Improvement License # 309645 [email redacted] (602) 714-7535 This contract is between Steven Wade (Owner) whose mailing address is 8404 S Kachina Dr. Tempe, AZ and D&D Construction & Home Improvement (Contractor) on 7/7/22 for the project at 8404 S Kachina Dr. Tempe, AZ. This contract total is ($45,281.90). The invoice number for this contract is 1597.

The Contractor and Owner agree on the following:

Work By Room-

Master bedroom work- ● Install porcelain flooring in master suite ● Install new baseboards, seal and paint ● Install porcelain tile on fireplace feature wall per design plans ● Replace (2) windows ● Replace (2) french doors ● Install drywall,texture, and paint as necessary

Master bathroom work- ● Close off (2) windows by tub ● Frame openings for (3) small windows ● Install (3) windows per design plans ● Demolition as necessary of concrete and existing tub ● Pour concrete as necessary after plumbing is moved ● Install (2) bathroom vanities ● Install shower doors DocuSign Envelope ID: 2A817F31-BE71-448E-999C-72B93C7CFEBF

Contract D&D Construction & Home Improvement License # 309645 [email redacted] (602) 714-7535 ● Install ceramic tile shower walls and pony wall ● Relocate drain for tub ● Run plumbing in pony wall for tub valve ● Install plumbing for handheld shower and shower valves ● Install new toilet ● Install new tub ● Install new tub spout ● Install (2) sinks/faucets ● Install (1) shower head ● Install (1) rain shower head ● Install (2) shower valves ● Install vent fan ● Install drywall as needed, texture and paint all new work

Living room work- ● Texture and paint all new work

Outside work- ● Install stucco as needed, texture and paint all new work after windows are closed off ● No hauling

*Demo and hauling are included unless otherwise stated

Contractor shall not be responsible for any other work not described in this contract. DocuSign Envelope ID: 2A817F31-BE71-448E-999C-72B93C7CFEBF

Contract D&D Construction & Home Improvement License # 309645 [email redacted] (602) 714-7535 Pre-Construction starts on 7/18/22 and will last (2) weeks. Work shall commence on or about 8/1/22 and will be completed in approximately (16) weeks, subject to changes in the plan approved by the owner, change orders, and events and conditions beyond our control. Estimated project completion date on or before 11/21/22.

All work shall be completed in a workmanlike manner, in accordance with standard industry practices and manufacturer's instructions. Any deviation or alteration from the above specifications involving extra costs will be completed only upon executing a written change order, and will require extra charges and time to complete, above and beyond what’s been agreed upon in this contract.

Contract Price-

By signing this contract you agree to pay ($45,281.90) dollars, the total contract price for all labor and materials furnished and work performed by the contractor as described in the Payment section below

Payments-

The contract price will be paid as follows:

● Down Payment - Owner shall pay Contractor a down payment of ($4,740) upon signing of this agreement. The down payment shall be DocuSign Envelope ID: 2A817F31-BE71-448E-999C-72B93C7CFEBF

Contract D&D Construction & Home Improvement License # 309645 [email redacted] (602) 714-7535 credited against the Contract Price beginning with Contractor’s first Payment. Owner can pay this deposit with any payment method listed on the invoice generated by Contractor. All design, inspection, material and testing fees are due in full at signing of this contract. ● Schedule Of Payments -

1. The first payment will be ($7,500) paid on 8/2/22 2. The second payment will be ($2,200) paid on 8/9/22 3. The third payment will be ($2,200) paid on 8/16/22 4. The fourth payment will be ($2,200) paid on 8/23/22 5. The fifth payment will be ($2,200) paid on 8/30/22 6. The sixth payment will be ($2,200) paid on 9/6/22 7. The seventh payment will be ($2,200) paid on 913/22 8. The eighth payment will be ($2,200) paid on 9/20/22 9. The ninth payment will be ($2,200) paid on 9/27/22 10. The tenth payment will be ($2,200) paid on 10/4/22 11. The eleventh payment will be ($2,200) paid on 10/11/22 12. The twelfth payment will be ($2,200) paid on 10/18/22 13. The thirteenth payment will be ($2,200) paid on 10/25/22 14. The fourteenth payment will be ($2,200) paid on 11/1/22 15. The fifteenth payment will be ($2,200) paid on 11/8/22 16. The sixteenth payment will be ($1,200) paid on 11/15/22 17. The last payment of ($1,041.90) will be due upon final inspection and walkthrough.

● Check Payments - If you prefer to pay by check, mail your check to the address below and make sure the check arrives on or before your scheduled payment date. All checks must be mailed. DocuSign Envelope ID: 2A817F31-BE71-448E-999C-72B93C7CFEBF

Contract D&D Construction & Home Improvement License # 309645 [email redacted] (602) 714-7535

D&D Construction PO Box 23384 Phoenix, AZ 85063

● Debit/Credit card fee - Please keep in mind that if you decide to pay via debit or credit card, there will be a 3.5% fee assessed to the final invoice. This 3.5% fee is of the total contract price.

Failure to make payments in full when due will cause the project to be shut down. A finance charge of 1-% per month will be added on any unpaid balance over 30 days old, which is an annual percentage rate of 12%. Legal action will be taken on uncollected accounts 45 days past due. Court costs, legal fees and collection fees incurred by Contractor plus interest will be added to any account owed by Owner

Changes-

If Owner requests, or one of the parties believes that a change is necessary, then the parties shall comply with the following procedure to reflect a Change in the Work:

● Before proceeding with the changed work, unless excused by an emergency involving safety or property damage, the Contractor shall provide Owner with a fixed-price written estimate of the cost and time impact of the requested Change ● Owner and Contractor shall execute a Change Order confirming their agreement with the Change, the fixed-price cost, and the extension of the Substantial Completion date, if any. DocuSign Envelope ID: 2A817F31-BE71-448E-999C-72B93C7CFEBF

Contract D&D Construction & Home Improvement License # 309645 [email redacted] (602) 714-7535 ● Any work associated with change orders may be temporarily suspended until the change order has been signed by both parties. ● Any refunds will be made after a change order has been signed by both parties and this contract has been completed and signed off on. ● All work in this contract is to be completed by Contractor. No work in this contract may be transferred to or completed by another contractor or company once this document has been signed.

Supervision-

● Owners agree that the supervision of the work performed under this Agreement is under the exclusive direction of the Contractor, and the Contractor shall have control over construction means, methods, techniques, sequences and procedures and for coordinating all portions of the work. ● Owners shall not interfere with the work, nor cause additional work to be carried on without the written consent of the Contractor. All of the work shall be done by the Contractor, contractors employees, or subcontractors in direct contract with the Contractor. ● Owners further agrees not to attempt to solicit Contractors employees or subcontractors for future projects or work without the written consent of the Contractor

Representations- ● This Agreement constitutes the entire agreement between Owners and Contractor, and supersedes all prior negotiations, understandings and agreements, either written or oral. This Agreement may be amended only by written change order signed by DocuSign Envelope ID: 2A817F31-BE71-448E-999C-72B93C7CFEBF

Contract D&D Construction & Home Improvement License # 309645 [email redacted] (602) 714-7535 both Owner and Contractor. Owner acknowledges that Contractor has made no guarantees, warranties, understandings, nor representations (nor have any been made by any representatives of the Contractor) that are not included in the contract documents.

Termination-

● If Contractor fails to supply proper materials and skilled workers; make payments for materials, labor, and subcontractors in accordance with their respective agreements; disregards ordinances, regulations, or orders of a public authority; or fails to materially comply with the provisions of the contract, Owners may give Contractor written notice to terminate. After seven (7) days if Contractor has failed to remedy the breach of contract, Owners can give a second notice to terminate. If Contractor still fails to cure the breach within three (3) days after the second notice, Owners may terminate the contract. Owner has the right to file a written complaint with the registrar for an alleged violation of section 32-1154, subsection A. The registrar's telephone number is (602) 542-1525 and their website address is roc.az.gov. Complaints must be made within the applicable time period as set forth in section 32-1155, subsection A.

Warranties- ● Contractor agrees to promptly make good, without cost to Owners, any and all defects due to faulty workmanship which may appear within Five (5) years from the date of completion and acceptance of the work by Owners. DocuSign Envelope ID: 2A817F31-BE71-448E-999C-72B93C7CFEBF

Contract D&D Construction & Home Improvement License # 309645 [email redacted] (602) 714-7535 ● If Owner requests Contractor to repair faulty work and upon inspection it is determined that the Contractor is not at fault, the Owner will be responsible for paying a $100 trip charge plus repairs of any demolition work done during the inspection. ● Warranty on roofing repairs is six (6) months from time of repair. All new roofing installs are covered under standard (5) year workmanship warranty ● Warranty is void if another company/contractor tampers with work done by Contractor ● Contractor shall provide Owner all manufacturer and supplier warranty information packaged with appliances installed on this project.

Project Completion-

● A “Project Completion” document will need to be signed at the completion of this project. At the signing of that document this contract will officially be deemed closed and completed. ● By signing this document both the contractor and owner agree that all work listed in the contract has been completed in a workmanlike manner, in accordance with standard industry practices and manufacturer's instructions. ● Once both parties have signed this document the contract and any associated change orders for this project will be considered closed and any additional work will need a separate contract submitted.

Design- DocuSign Envelope ID: 2A817F31-BE71-448E-999C-72B93C7CFEBF

Contract D&D Construction & Home Improvement License # 309645 [email redacted] (602) 714-7535 ● All plans are designed in accordance with the Owners wishes and city code. At signing of this contract, Contractor and Owner are in agreement that said plans are designed as owner has requested. ● Contractor only builds to city approved plans. Once approved by Owner these plans are deemed correct and no changes will be made without a proper change order. ● Any deviation from the original city approved plans will require resubmittal and additional payments to engineers, architects, and possibly city fees at Owners expense. ● Owner agrees by signing this document that all plans and designs have been fully reviewed and owner approves Contractor to build to said plans.

Other Project Notes-

● No one other than employees of Contractor or subcontractors directly in contract with the Contractor may use Contractors dumpster. If any other individuals use said dumpster without prior approval from Contractor Additional charges will apply at Contractors discretion. ● “Time is of the essence”. Inexcusable delays of project by Owner are those where the Owner was entirely responsible for extending the project’s duration causing extra costs, loss of profits, etc. Proper planning by Owner should be made to make sure all customer supplied materials are available for install when requested and that the project is made available for work during normal business hours. If Owner does delay project more than (7) days after the date of notice by Contractor, then the Owner will be liable for any costs or damages caused by the delay at the discretion of Contractor. These DocuSign Envelope ID: 2A817F31-BE71-448E-999C-72B93C7CFEBF

Contract D&D Construction & Home Improvement License # 309645 [email redacted] (602) 714-7535 extra costs will be submitted in a change order and due immediately before work commences again. ● Legal action will be taken on any inexcusable delays of project by Owner that extend more than (30) days from day of Contractors notice. Court costs, legal fees and collection fees incurred by Contractor plus interest will be added to any account owed by Owner. ● Concrete is a normal building material supplied by the Contractor. Cracking is inherent to the material properties of concrete construction (including post-tensioned concrete structures). While every effort will be made to minimize the effects of unsightly cracking, the presence of cracks are normal and unavoidable. In some cases concrete cracks do not appear until well after construction is complete. It is the responsibility of the owner to maintain the structure properly over the life of the structure. Concrete cracks, should they occur, shall be filled and sealed to prevent premature deterioration of the structure.

“NOTICE TO OWNER OF APPLICABILITY OF ARIZONA PROMPT PAY ACT (NOTICE REQUIRED BY ARIZONA REVISED STATUTES SECTION 32-1129.07) ATTENTION: YOUR OBLIGATIONS TO PAY YOUR CONTRACTOR ARE SUBJECT TO THE ARIZONA PROMPT PAY ACT. THAT ACT IS SET FORTH IN SECTION 32-1129, ARIZONA REVISED STATUTES, AND SECTIONS 32-1129.01 THROUGH 32-1129.07, ARIZONA REVISED STATUTES.

THE FULL TEXT OF THE STATUTES ARE AVAILABLE AT YOUR LOCAL PUBLIC LAW LIBRARY OR THE INTERNET. UNDER THAT ACT, YOU HAVE THE RIGHT TO WITHHOLD ALL OR A PORTION OF A PAYMENT TO A CONTRACTOR FOR A VARIETY DocuSign Envelope ID: 2A817F31-BE71-448E-999C-72B93C7CFEBF

Contract D&D Construction & Home Improvement License # 309645 [email redacted] (602) 714-7535 OF REASONS, INCLUDING DEFECTIVE CONSTRUCTION WORK THAT HAS NOT BEEN CORRECTED. HOWEVER, IN ORDER TO DO SO, YOU MUST ISSUE A WRITTEN STATEMENT SETTING FORTH IN REASONABLE DETAIL YOUR REASONS FOR WITHHOLDING PAYMENTS WITHIN FOURTEEN (14) DAYS AFTER THE DATE YOU RECEIVE A BILLING OR ESTIMATE.

IF YOU FAIL TO ISSUE THE WRITTEN STATEMENT WITHIN THAT PERIOD, THE BILLING OR ESTIMATE WILL BE DEEMED APPROVED. ONCE THE BILLING OR ESTIMATE IS DEEMED APPROVED, YOU MUST PAY THE BILLING OR ESTIMATE WITHIN SEVEN (7) DAYS. GENERALLY, YOU ARE LIMITED BY THE ACT TO WITHHOLDING ONLY AN AMOUNT THAT IS SUFFICIENT TO PAY THE DIRECT COSTS AND EXPENSES YOU REASONABLY EXPECT TO INCUR TO PROTECT YOU FROM LOSS FOR WHICH THE CONTRACTOR IS RESPONSIBLE. YOU ARE ENCOURAGED TO READ THE ACT IN FULL TO KNOW YOUR OBLIGATIONS AND RIGHTS.

Contractor Supplied Materials- ● Building materials are always included in our estimates. They are normally considered to be any material that does not need your opinion before purchasing. If you have any questions about what materials you are responsible for please refer to your “To Do List” sent to you after estimate approval. ● All contractor supplied materials shall be of standard/ builder grade. ● Contractor agrees to inspect all materials prior to installation. ● Contractor understands and agrees that as the supplier of materials, Contractor assumes full responsibility and liability for assuring that the products meet all applicable codes and ordinances. ● Contractor recommends Owner be present at all unpacking of contractor supplied materials and verify the materials are what they wanted. DocuSign Envelope ID: 2A817F31-BE71-448E-999C-72B93C7CFEBF

Contract D&D Construction & Home Improvement License # 309645 [email redacted] (602) 714-7535 ● All unused materials furnished by Contractor shall remain the property of Contractor.

Customer Supplied Materials-

● Owner warrants that all materials supplied by Owner will be of new and standard quality, free of defects and may be installed or applied according to the RESIDENTIAL CONSTRUCTION PERFORMANCE GUIDELINES, as published by the NAHB and in a time frame consistent with normal installations for these materials. ● Owner agrees to have all materials on the job site prior to the start date listed in the contract. ● All unused materials furnished by Owner shall remain the property of Owner, and all materials delivered to the job address shall be safely stored by Owner. ● If Owner fails to have the necessary materials on the job site as outlined above, Owner agrees that Contractor may purchase those materials, and Owner will reimburse Contractor the cost of the materials plus travel time to and from the job site to the place of purchase at the next progress payment or final payment whichever comes first. ● Owner understands and agrees to be present or have a representative present when any materials supplied by Owner for use on this job are unpacked by Contractor. Owner or representative will inspect those materials for completeness of the order and for damage or for any other defects. If Owner is not present when these materials are unpacked, Owner waives any and all claims against Contractor DocuSign Envelope ID: 2A817F31-BE71-448E-999C-72B93C7CFEBF

Contract D&D Construction & Home Improvement License # 309645 [email redacted] (602) 714-7535 for any damaged or missing materials and will hold Contractor harmless against any claims for damaged or missing materials by the Owner or the Owner's representative. ● Owner further understands and agrees that the Contractors only guarantee regarding the materials to be supplied by the Owner is they will be installed consistent with the RESIDENTIAL CONSTRUCTION PERFORMANCE GUIDELINES, as published by the NAHB. No other guarantees of any kind are expressed, implied or included in this contract. ● Owner understands and agrees that as the supplier of materials, Owner assumes full responsibility and liability for assuring that the products meet all applicable codes and ordinances. ● Any resultant damage to any other part of the structure in contact with or adjacent to the materials supplied by Owner and installed by Contractor, because of failure of those materials supplied by the Owner, are the Owner's sole responsibility for repair or replacement. Contractors liability will be for the labor only if it is determined by a neutral third party that the Owner's materials were installed incorrectly by the Contractor thus causing the damage to the structure.

Finish Materials-

● Finish materials are normally considered to be any material that needs your opinion before purchasing. Below we’ve listed what materials we will deliver to the project for you and which materials you will need to deliver. DocuSign Envelope ID: 2A817F31-BE71-448E-999C-72B93C7CFEBF

Contract D&D Construction & Home Improvement License # 309645 [email redacted] (602) 714-7535 Contractor will deliver:

● Granite/Quartz

Owner will deliver:

● See attached excel spreadsheet

*Any missing items will be added through change order.

I have read, understood, and agreed to everything in this contract.

Effective Date and Signature-

● This contract shall become effective on the day it is signed by both parties.

7/9/2022 7/13/2022 ____________________ __________ __________________ __________ Contractor Date Owner Date D&D Construction Invoice 1597 PO BOX 23384 Phoneix, AZ 85063 +1 [number redacted] ddconstructionaz.com

BILL TO

Steven Wade PLEASE PAY DATE 8404 S Kachina Dr 07/07/2022 $40,281.90 Tempe, AZ

THE WORK THE WORK TOTAL COST

Addition:Drywall Install drywall as needed, texture and paint all 8,366.40 new work (labor & materials included) Addition:HVAC Install vent fan (labor & installation materials 802.13 included) Addition:Plumbing Install new toilet, tub, tub spout, (2) sinks/faucets, 4,849.97 shower head and shower valve (labor & installation materials included) Addition:Plumbing Relocate drain for tub, run plumbing in pony wall 4,011.67 for tub valve, install plumbing for handheld shower and shower valves (labor only) Addition:Shower tile Install ceramic tile shower walls and pony wall 4,980.91 Install (labor & installation materials included) Shower Door Install Install shower doors (labor & installation 961.58 materials included) Flooring:Install Install porcelain flooring in master suite (labor & 4,183.46 installation materials included) Flooring:Baseboard Install new baseboards, seal and paint (labor & 871.33 Installation installation materials included) Tile installation Install porcelain tile on fireplace feature wall per 1,446.57 design plans (labor only) Addition:Cabinetry Install (2) bathroom vanities (labor & installation 1,671.23 materials included) Addition:Windows Replace (2) windows (labor & installation 1,660.37 materials included) Addition:Door Install Replace (2) french doors(labor & installation 1,654.28 materials included) Concrete Pour concrete after plumbing is moved (labor & 717.25 materials included) Demolition Demolition as necessary of concrete and existing 2,088.17 tub (labor) Subtotal: 38,265.32

After 60 days, estimate prices are subject to change. THE WORK THE WORK TOTAL COST

Masonry Close off (2) windows by tub (labor & materials 1,723.49 included) Carpentry Frame openings for (3) small windows (labor & 957.68 materials included) Windows Install (3) windows per design plans labor only) 2,155.30 Drywall Install drywall as needed in living room, texture 955.13 and paint all new work (labor & materials included) Stucco Install stucco as needed, texture and paint all 1,224.98 new work (labor & materials included) Subtotal: 7,016.58 D&D Construction (5) D&D Construction agrees to promptly make 0.00 Year Extended good, without cost to you, any and all defects Warranty due to faulty workmanship which may appear within Five (5) years from the date of completion and acceptance of the work. Payment Options: SUBTOTAL 45,281.90 TAX 0.00 Check TOTAL 45,281.90 DEPOSIT 5,000.00 Zelle: [email redacted]

*Credit or Debit cards TOTAL DUE $40,281.90 THANK YOU. **Paypal: [email redacted]

*3.5% fee charged to final invoice for all credit and debit card payments.

**Please send only as Friends and Family otherwise 2.9% fee will apply.

After 60 days, estimate prices are subject to change. Change Order DocuSign Envelope ID: 3EBB7F26-15A3-40B5-AF27-EBE0B72DEF4F

D&D Construction & Home Improvement License # 309645 [email redacted] (602) 714-7535

This change order is between Steven Wade (Owner) and D&D Construction & Home Improvement (Contractor) on 7/19/22 for the project at 8404 S Kachina Dr. Tempe, AZ.

The Contractor and owner agree on the following changes:

● Change in payment dates as listed below

● The first payment will be ($7,500) paid on 7/20/22 ● The second payment will be ($2,200) paid on 7/26/22 ● The third payment will be ($2,200) paid on 8/2/22 ● The fourth payment will be ($2,200) paid on 8/9/22 ● The fifth payment will be ($2,200) paid on 8/16/22 ● The sixth payment will be ($2,200) paid on 8/23/22 ● The seventh payment will be ($2,200) paid on 8/30/22 ● The eighth payment will be ($2,200) paid on 9/6/22 ● The ninth payment will be ($2,200) paid on 9/13/22 ● The tenth payment will be ($2,200) paid on 9/20/22 ● The eleventh payment will be ($2,200) paid on 9/27/22 ● The twelfth payment will be ($2,200) paid on 10/4/22 ● The thirteenth payment will be ($2,200) paid on 10/11/22 ● The fourteenth payment will be ($2,200) paid on 10/18/22 ● The fifteenth payment will be ($2,200) paid on 10/25/22 ● The sixteenth payment will be ($1,200) paid on 11/1/22 ● The last payment of ($1,041.90) will be due upon final inspection and walkthrough. ● New estimated end date is 11/7/22 Change Order DocuSign Envelope ID: 3EBB7F26-15A3-40B5-AF27-EBE0B72DEF4F

D&D Construction & Home Improvement License # 309645 [email redacted] (602) 714-7535 We hereby agree to make the changes specified above at the price indicated per this change order. All work is to be performed under the established terms and conditions specified in the original contract unless otherwise specified.

All change orders are DUE IN FULL at signing, please remit payment through the invoice sent with this document.

7/19/2022 7/21/2022 ____________________ __________ __________________ __________ Contractor Date Owner Date Change Order DocuSign Envelope ID: 5E1034DF-127D-470A-82E2-0C9F9CD5EE3D

D&D Construction & Home Improvement License # 309645 [email redacted] (602) 714-7535

This change order is between Steven Wade (Owner) and D&D Construction & Home Improvement (Contractor) on 8/23/22 for the project at 8404 S Kachina Dr. Tempe, AZ. This change orders total is ($250). The new contract total is ($45,531.90). The invoice number for this change order is 1603.

The Contractor and owner agree on the following changes:

Work By Room-

Addition work- ● Relocate ground wire as necessary

We hereby agree to make the changes specified above at the price indicated per this change order. All work is to be performed under the established terms and conditions specified in the original contract unless otherwise specified.

All change orders are DUE IN FULL at signing, please remit payment through the invoice sent with this document.

8/23/2022 8/24/2022 ____________________ __________ __________________ __________ Contractor Date Owner Date D&D Construction Invoice 1603 PO BOX 23384 Phoneix, AZ 85063 +1 [number redacted] ddconstructionaz.com

BILL TO

Steven Wade PLEASE PAY DATE 8404 S Kachina Dr 08/19/2022 $250.00 Tempe, AZ

THE WORK THE WORK TOTAL COST

Charges Addition:Electrical Relocate ground wire as necessary (labor only) 250.00 Payment Options: SUBTOTAL 250.00 TAX 0.00 Check TOTAL 250.00

Zelle: [email redacted] TOTAL DUE $250.00 *Credit or Debit cards THANK YOU.

**Paypal: [email redacted]

*3.5% fee charged to final invoice for all credit and debit card payments.

**Please send only as Friends and Family otherwise 2.9% fee will apply.

After 60 days, estimate prices are subject to change. Change Order DocuSign Envelope ID: 96737B5E-F3D0-4047-BF34-C3021622A8C7

D&D Construction & Home Improvement License # 309645 [email redacted] (602) 714-7535

This change order is between Steven Wade (Owner) and D&D Construction & Home Improvement (Contractor) on 10/19/22 for the project at 8404 S Kachina Dr. Tempe, AZ. This change orders total is ($2,130.38). The new contract total is ($47,662.28). The invoice number for this change order is 1611.

The Contractor and owner agree on the following changes:

Work By Room-

Living room work- ● Prep all walls and ceilings for paint in living room and dining room ● Interior unfurnished painting of living room and dining area ● Paint ceiling area in living room between beams only ● Paint ceiling in dining room ● Paint baseboards and trim in living room & dining area only

All change orders are DUE IN FULL at signing, please remit payment through the invoice sent with this document. Change Order DocuSign Envelope ID: 96737B5E-F3D0-4047-BF34-C3021622A8C7

D&D Construction & Home Improvement License # 309645 [email redacted] (602) 714-7535

10/19/2022 10/26/2022 ____________________ __________ __________________ __________ Contractor Date Owner Date D&D Construction Invoice 1611 PO BOX 23384 Phoenix, AZ 85063 (602) 714-7535 ddconstructionaz.com

BILL TO

Steven Wade PLEASE PAY DATE 8404 S Kachina Dr 10/19/2022 $2,130.38 Tempe, AZ

THE WORK THE WORK TOTAL COST

Charges Painting prep Prep all walls and ceiling for paint (labor & materials 593.28 included) Unfurnished Painting Interior unfurnished painting of living room and dining area 1,537.10 and ceiling area in between beams only, paint ceiling in dining room, paint baseboards and trim in living room & dining area only (labor only) Payment Options: SUBTOTAL 2,130.38 TAX 0.00 Check TOTAL 2,130.38

Zelle: [email redacted] TOTAL DUE $2,130.38 *Credit or Debit cards THANK YOU.

**Paypal: [email redacted]

*3.5% fee charged to final invoice for all credit and debit card payments.

**Please send only as Friends and Family otherwise 2.9% fee will apply.

After 30 days, estimate prices are subject to change. Change Order DocuSign Envelope ID: 7381E4D5-1132-46E8-BFA1-436DB5A71B13

D&D Construction & Home Improvement License # 309645 [email redacted] (602) 714-7535

This change order is between Steven Wade (Owner) and D&D Construction & Home Improvement (Contractor) on 11/18/22 for the project at 8404 S Kachina Dr. Tempe, AZ. This change orders total is ($-600). The new contract total is ($47,062.28).

The Contractor and owner agree on the following changes:

● Overdue payment of $1,200 due at signing of this change order ● Outstanding credit fee payment of $72.68 due at signing of this change order ● Due to delays in customer provided materials, project end date is voided and project has no estimated end date. End date can be updated on another change order if requested by owner once ALL customer supplied materials are onsite. ● Breach of contract on 11/16/22. This breach of contract effectively voids warranty on contract. I will need to inspect the project to verify no other work has been tampered with before the project is restarted. ● Project is shut down until above payments are made, This change order is signed, and ALL customer supplied materials are onsite. Removal- ● Remove (1) french door install Change Order DocuSign Envelope ID: 7381E4D5-1132-46E8-BFA1-436DB5A71B13

D&D Construction & Home Improvement License # 309645 [email redacted] (602) 714-7535

All change orders are DUE IN FULL at signing, please remit payment through the invoice sent with this document.

11/18/2022 ____________________ __________ __________________ __________ Contractor Date Owner Date November 20, 2022

Dion Horton D&D Construction & Home Improvement [email redacted]

Dion,

RE: Notice of Intent to Terminate Contract and Seek Recovery of Funds, Costs for Defective Work, and Legal Fees

Please consider this letter notice of our intent to terminate the Contract and seek recovery of funds, costs for defective work and legal fees and costs. We (Chris) tried to call you to amicably resolve the issue and get us back on track. You sent him directly to voice mail and texted him that you are unwilling to speak to us. We have also attempted to resolve this through email and text to you to no avail. The grounds for terminating this Contract are set forth below. You have seven days under the Contract to cure these breaches.

You have sent us an invoice (Invoice 1597) and demanded that we pay you $1981.90, the amount that you assert is the remaining balance under the Contract, before you will proceed with work. Your demand is unfair and a violation of the Contract terms. That amount is not what we owe. In correspondence, you conceded that you agreed to remove installation of one of the French Doors from the Contract. Invoice 1597 still includes both doors at a cost of $1,654.28. Half of that is $827.14, and that amount needs to be subtracted from the total amount. Additionally, the Contract states that the final payment of $1,041.90 will be due upon final inspection and walk through. We are not even near final inspection and walk through. Forcing us to pay you in full before final inspection and walk through violates the Contract. Invoice 1597 also allocates $955.13 for drywall work that your workers did not complete. Thus, you are demanding we pay for work that you did not do. Finally, we are withholding any remaining payment that may be due because of defective construction work that still has not been corrected, as further set forth below.

The Contract states that work will be completed by November 21, 2022. The work will not be completed by November 21, 2022, and we have not agreed to an extension. In an email, you allege all delays are attributable to us due to delays in materials, but that is not accurate. Many of the delays were due to your subcontractors. For example, on September 1, 2022, you texted Chris to say your drywall contractor “flaked” and we would be delayed a week. Your drywall contractor was in fact delayed almost three weeks and drywall did not even arrive until September 17, 2022. While we acknowledge that our bathroom vanities were delayed in delivery, it was through no fault of our own and we informed you right away. The vanities showed up damaged and of course could not be installed. We quickly remedied the problem by ordering new ones and the company put a rush on them. The vanities were available before we left town on October 27, 2022, a full month before the project was to be completed. Moreover, while waiting for the vanities other work could have been completed and the defective work could have been fixed. We have been waiting three months for you to fix the defective tile work and the walls in the bathroom. Finally, as of today, the unfinished work includes, but is not limited to: drywall work (including creating a niche by the tub, fixing the closet doors and other fixes) and painting in bedroom, installing vanities, painting the stucco on outside of house, installing the tub and toilet, plumbing for sinks after vanities are installed, and fixing defective work.

The Contract states that work will be performed according to the Residential Construction Performance Guidelines and that Contractor will fix any defective work. We have informed you of several instances of defective work and you have failed to resolve them. First, the tile on the pony wall of the shower is crooked and not square in 2 locations. You remedied 1 of the 2 locations. The south shower wall is also crooked, which has resulted in tile that is observably not perpendicular and looks bad. As Chris explained to you, your people framed that wall so it’s not a defect with the house. You were notified of these defects on August 17, 2022, and they are still not fixed. On September 19, 2022, we notified you (via text with a picture) that the workers had not covered any of the floor tile before completing construction activities and drywall work and we had concerns about scratching the tile. The tile is scratched. There are also concrete chunks in the acrylic bathtub, which also appears scratched. The workers also scratched the tub filler and trim kit and possibly other hardware because they have been opening items and leaving them in piles on the floor. Whomever did the drywall, mudded over several outlets and electrical boxes (especially the screw holes) so you cannot put a cover on them. On November 15, 2022, you were notified the arched windows were not properly installed and the 3 small windows were installed at a depth that does not match the other windows. To be very clear, we have not attempted to fix any of these defects or had anyone else attempt to fix these defects. No one but you or your subcontractors have done any work in the bedroom and bath.

Finally, your workers did not properly handle work in the living room and dining room, and you failed to communicate with us and left us in a bind with family coming into town. We went out of town from October 27, 2022, until November 12, 2022. You assured us that during that time you would complete drywall work in the living room (patching 3-4 large holes) and the painting in the living room and dining room. Based on this promise, we moved all furniture and took everything off the walls. On November 7, 2022, I emailed you and requested an update. You did not respond. On November 12, 2022, we came home and found that the drywall was not fixed in the living room and instead, the painters painted over the holes in the wall. The painters also failed to paint the dining room ceiling white, and your workers also scratched and dented the baseboards. Chris texted you that same day and asked for a schedule to address these defects and damages. He explained that our living/dining room is unusable in its current state and that we could not put the furniture back until painting was complete and the holes were patched. We also could not put the TV and projection screen back on the wall nor could we reconnect the entertainment system (a task that takes hours to rewire – and makes it time consuming and dangerous to the equipment – to continuously be move around). Chris also explained that we had family coming for Thanksgiving and needed the corrective work to be completed. Again, you did not respond. Hearing nothing from you, on November 15, 2022, Chris informed you that we had found someone to patch drywall so we could get it done before family arrived and get the room put back together. He again sought clarification from you and gave you the opportunity to send someone out to fix it. Again, you did not respond. On November 16, 2022, you finally responded via email and told us the project was shut down until we paid you more money, all materials were onsite, and we agreed to a change order. That same day, I responded and clarified that we did have all materials available except some of baseboards, due to our miscalculation on the amount of boards needed and the fact the baseboards are on backorder until next year. In an attempt to move the project forward and prevent any further delay, I offered to remove baseboards from the project and said we could install them at a later date. On November 18, 2022, you responded and threatened to void the warranties for all work due to our patching the wall in the living room. You also demanded we pay you another $1981.90, despite our attempt to explain why that was not the correct amount or that we don’t have to pay the final payment before walkthrough. We attempted to call you on November 19, 2022, but you refused to talk to us. Chris texted you and again, explained that both French Doors are still in Invoice 1597, but you refused to provide a corrected invoice. You have left us with no other options.

In order to proceed with the Contract, we make the following demand:

1. You propose a reasonable schedule to complete the work, with the modifications below. Our original end date was November 21, 2022. We will not agree to continue the work past December 31, 2022. All necessary materials are available now.

2. You correct the defective work including the tile in the shower area and the crooked walls, you replace the scratched tiles, fix the windows, and replace the scratched and damaged tub fillers.

3. You remove the costs from the Invoice for: one set of French Doors ($827.14) and drywall work in living room ($955.13).

4. You remove the cost for painting/installation of baseboards ($871.33) from the Invoice or you install and paint existing baseboards.

5. You confirm that the work under the Contract in the bedroom and bathroom is covered by the warranties in the Contract. We waive any right to warranties for the paint in the living room/dining room.

We have already paid you $45,680.38 of $47,662.28 under this Contract and much of the work remains unfinished and the defective work has not been fixed. Further, under the plain terms of the Contract, you cannot require us to pay the final payment due under the Contract prior to final inspection. Your refusal to even talk to us suggests that you want to abandon this project without reason or justification since you have gotten almost all our funds. We have tried to be reasonable with you and been flexible even when your conduct violated the Contract. For example, you had one of your tile guys fix a wiring issue before we even agreed to a change order. We do not feel you are being reasonable with us in return.

If you do not agree to the proposal above, or if we cannot come to further agreement, we will terminate the Contract and seek a refund of fees already paid to you for labor that has not been completed. We will also seek costs to fix your defective work as well as legal fees and costs paid to enforce our rights under the Contract. Until we resolve these issues, neither you nor your subcontractors have permission to enter our home without notifying us in advance and obtaining permission. We also ask that you give us the code to obtain our key from the lock box you hung on our door. We will return the lockbox to you.

Sincerely,

April Olson and Chris Wade 8404 S. Kachina Drive, Tempe, AZ 85284 11/30/22, 9:17 PM Account Detail - Wells Fargo

Check Details

Item 10 of 48 Show full image Print

Check Number 1410

Date Posted 07/11/22

Check Amount $5,000.00

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Equal Housing Lender

https://connect.secure.wellsfargo.com/accounts/start?p1=yes&SAMLart=AAQBTOoEQCR14WDgSxaU4QNGCHpGcoS1TAQ2wcefIDIbOw1MTPql1A… 1/1 Payment receipt

You paid $250.00 to D&D Construction on 8/25/2022

Invoice no. 1603 Invoice amount $250.00 Total $250.00 No additional transfer fees or taxes apply.

Status Paid Payment method Credit Card Authorization ID MU0106203454

Thank you

D&D Construction +1 [number redacted]

ddconstructionaz.com | [email redacted] PO BOX 23384, Phoneix, AZ 85063

You paid $2,130.38 to D&D Construction on 10/27/2022

Invoice no. 1611 Invoice amount $2,130.38 Total $2,130.38 No additional transfer fees or taxes apply.

Status Paid Payment method Credit Card Authorization ID MS0127757938

Thank you

D&D Construction (602) 714-7535

ddconstructionaz.com | [email redacted] PO BOX 23384, Phoenix, AZ 85063

Paym ent ser vices br ought by: For more information about Intuit Intuit Payments Inc. Payments’ money transmission 2700 Coast Avenue, Mountain licenses, please visit View, CA 94043 https://www.intuit.com/legal/licenses/payment- Phone number 1-888-536-4801 licenses/. NMLS #1098819 The image below is the text message between Dion and my self where we agreed that he would prioritize taping and texturing the living room walls and then painting. He agreed that it was easy work and could be done in 3-5 days with out issue. With Dion agreeing to prioritizing and assuring us that 5 days was sufficient, we accepted the paint change order and prepared the room for this to be completed while we were on vacation. There was more than enough time to get this done. Had we known it would not be completed in the order specified we would have asked for that work to be conducted after the holidays and we would have waited to sign the paint change order. 9/15/23, 8:02 AM State of Arizona Mail - Written Answer to Citation and Complaint Case No. 2022-10867.

Answers - AZROC <[email redacted]>

Written Answer to Citation and Complaint Case No. 2022-10867. message

D&D Construction <[email redacted]> Thu, Sep 14, 2023 at 12:01 PM To: [email redacted]

To whom it may concern,

I have received the citation and this is my response.

I did everything the inspector asked of me on every complaint item. The inspector just said that I didn’t wrap a copper line far enough down, and that he still could find some scratches on the floor that I buffed out twice for the customer. I attempted to do everything listed on my directive and completed them all before the due date given to me. I do not feel my license should be disciplined for this directive. I can make the extended repairs asked of me very quickly for the customer without wasting the courts time. Again I did what the inspector requested, he just said I didn’t go far enough.

Dion Horton Jr. D&D Construction ROC# 309645 www.ddconstructionaz.com (602) 714-7535

"Trust Isn’t The Only Thing We Build Well"

https://mail.google.com/mail/b/AEoRXRQEZjL1Akcrzv_Kh77ez_rciGt0zZD6FxZ9C8kvErWKunXU/u/0/?ik=581c53cf5c&view=pt&search=all&permthid… 1/1 REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA

Steven Wade, Case No. 2022-10867 COMPLAINANT, v. Horton Enterprises LLC CITATION DBA: D&D Construction & Home Improvement License No. ROC 309645, RESPONDENT.

The Registrar issues this Citation to Horton Enterprises LLC DBA: D&D Construction

& Home Improvement (“Respondent”) under A.R.S. § 32-1155(A). If Respondent fails to

answer this Citation by October 10, 2023, then under A.R.S. § 32-1155(C), Respondent’s

failure to answer may be deemed an admission of the act or acts charged in the underlying

complaint, and the Registrar may then suspend or revoke Respondent’s license(s).

THE WRITTEN COMPLAINT

On November 30, 2022, Steven Wade (“Complainant”) filed a written complaint with

the Registrar. A copy of that Complaint is attached to this Citation.

A FORMAL STATEMENT OF THE CHARGES AGAINST RESPONDENT

The Registrar investigated this matter and finds cause to charge Respondent with

violation(s) of Title 32, Chapter 10 of the Arizona Revised Statutes. Respondent is charged

with violating:

Charge :1 A.R.S. § 32-1154(A)(3) - R4-9-108(a)

Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(a): A of 6

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 contractor shall perform all work in a professional and workmanlike manner. Charge :2 A.R.S. § 32-1154(A)(3) - R4-9-108(b) Violation of any rule adopted by the Registrar; Namely A.A.C. R4-9-108(b): A contractor shall perform all work in accordance with any applicable building codes and professional industry standards. For work to be performed in accordance with professional industry standards, a contractor shall use such skills, prudence, and diligence in performing and completing tasks undertaken that the completed work meets the standards of a similarly licensed contractor possessing ordinary skill and capacity. Charge :3 A.R.S. § 32-1154(A)(22) Failure to take appropriate corrective action to comply with this chapter or with rules adopted pursuant to this chapter without valid justification within a reasonable period of time after receiving a written directive from the Registrar. The written directive shall set forth the time within which the contractor is to complete the remedial action. The time permitted for compliance shall not be less than fifteen days from the date of issuance of the directive. A license shall not be revoked or suspended nor shall any other penalty be imposed for a violation of this paragraph until after a hearing has been held. If the matter proceeds to a hearing and the administrative law judge determines that any of the charges listed above are supported by a preponderance of the evidence, then Respondent’s license(s) may be subject to suspension or revocation, and Respondent may be subject to other penalties provided by law, including civil penalties under A.R.S. §§ 32-1154(E) and (F). FILING A WRITTEN ANSWER Respondent must appear by filing with the Registrar a written answer to the citation and of 6

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 complaint showing cause, if any, why Respondent’s license(s) should not be suspended or revoked. A.R.S. § 32-1155(A). Respondent’s written answer should contain the heading “Written Answer to Citation and Complaint” and should include the case number, which is Case No. 2022-10867. How to File a Written Answer: Respondent’s written answer may be submitted in the following ways: In-Person: 1700 W. Washington St., Ste. 105, Phoenix, Arizona, 85007-2812 Mail: P.O. Box 18244, Phoenix, Arizona, 85005-8244 Email: [email redacted] The Registrar’s normal office hours are 8:00 a.m. to 5:00 p.m., Monday through Friday. If Respondent submits a written answer by mail, it is not filed with the Registrar until the Registrar actually receives it. Deadline for Filing a Written Answer: Respondent must file a written answer with the Registrar no later than October 10, 2023. This deadline is calculated under A.R.S. §§ 32-1155(A) and (B), which provides a deadline ten days after service of the Citation. Service of the Citation and Complaint is complete five days after the Registrar mails a copy of the Citation and Complaint to Respondent’s latest address of record in the Registrar’s office. Consequences for Failing to File a Written Answer: If Respondent fails to answer, Respondent’s failure may be deemed an admission of the act or acts charged in the written complaint. A.R.S. § 32-1155(C). The Registrar may then suspend or revoke Respondent’s license(s). THE ADMINISTRATIVE HEARING If Respondent files a timely written answer contesting any charges in the Complaint, then the Registrar will request the Office of Administrative Hearings set a date for an administrative hearing and will notify all the parties at least 30 days before that hearing. A.R.S. of 6

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 § 41-1092.05(D). INVESTIGATOR’S APPEARANCE AS A WITNESS The Registrar’s assigned investigator will appear as a witness at the hearing. If either party demands the attendance at the hearing of any other person, that party must obtain and serve a subpoena in compliance with the rules and processes established by the Office of Administrative Hearings. RESPONDENT’S RIGHT TO REQUEST AN INFORMAL SETTLEMENT CONFERENCE Under A.R.S. § 41-1092.06, if Respondent submits a request to the Registrar for an informal settlement conference, the Registrar must hold a conference within 15 days after receiving the request. Respondent’s request for an informal settlement conference must be in writing and must be filed no later than 20 days before the administrative hearing. A.R.S. § 41- 1092.06(A). The Registrar will not close or settle any case without both parties’ appearance at the Settlement Conference. The parties participating in the settlement conference must have the authority to settle the case and must waive their right to object to the participation of the Registrar’s settlement conference representative in the final administrative decision. A.R.S. § 41-1092.06(B). Any statements, either written or oral, made by the parties at the conference, including a written document, created or expressed solely for the purpose of settlement negotiations, are inadmissible in the administrative hearing. A.R.S. § 41-1092.06(B). RESPONDENT’S PRIOR RECORD Under A.A.C. R4-9-117, in determining the appropriate discipline, the administrative law judge and the Registrar may consider not only facts in the current case, but also facts in prior cases and any documents regarding Respondent on file with the Registrar. Respondent’s prior disciplinary record and current license(s) status may be considered as a mitigating or of 6

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 aggravating factor in determining the appropriate discipline. EVIDENTIARY DISCLAIMER By issuing this Citation, the Registrar is directing Respondent to file a written answer to the Citation and Complaint, showing cause, if any, why Respondent’s license(s) should not be suspended or revoked. A.R.S. § 32-1155(A). This Citation does not constitute proof that any charge or allegation in Complainant’s written complaint is in fact true. This Citation does not constitute proof that Respondent violated any statutory provision or rule adopted by the Registrar. Dated September 25, 2023. By: /s/ Erin Johnson Erin Johnson Legal Assistant II Legal Department Arizona Registrar of Contractors COPY of the foregoing mailed by Certified Mail, Return Receipt Requested, September 25, 2023 to: Respondent Certified Mail No: [number redacted] Horton Enterprises LLC DBA: D&D Construction & Home Improvement PO Box 23384 Phoenix, AZ 85063 Respondent Certified Mail No: [number redacted] Horton Enterprises LLC DBA: D&D Construction & Home Improvement 3744 W. Roanoke Ave. Ste. 6 Phoenix, AZ 85009-1330 Copy mailed by USPS First Class mail this same date to: of 6

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 Horton Enterprises LLC DBA: D&D Construction & Home Improvement PO Box 23384 Phoenix, AZ 85063

Horton Enterprises LLC DBA: D&D Construction & Home Improvement 3744 W. Roanoke Ave. Ste. 6 Phoenix, AZ 85009-1330 Complainant Steven Wade 8404 S. Kachina Dr. Tempe, AZ 85284 Complainant’s Attorney Verrin Kewenvoyouma, Esq. 700 E. Baseline Rd. #C-1 Tempe, AZ 85283 Copy sent electronically this same date to: Respondent at email address on record with the Registrar Complainant at email address on record with the Registrar Complainant’s Attorney at email address of record with Registrar Case No. 2022-10867 / EJ

of 6

1700 W. Washington Street, Suite 105 · Phoenix AZ 85007-2812

602.542.1525 · Toll Free 877.692.9762 · roc.az.gov Lg101 8/21 Licensed Complaint Form Departmental Use Only For Current or Suspended Licensees

Person Filing Complaint Full Name (First Middle Last) Business Name (if a licensed contractor or supplier) ROC License Number(s) (if any)

Steven wade Mailing Address (Enter jobsite in Contract/Project section) City State Zip

8404 s kachina dr tempe Arizona 85284 Phone Number Email

(480) 355-7709 [email redacted] I consent to receive communications electronically in connection with this case Name of Attorney (if any)

Verrin Kewenvoyouma Street Address of Attorney City State Zip

700 e Baseline Rd, #C-1 Tempe Arizona 85283 Phone Number of Attorney Email of Attorney

[number redacted] Contractor Information Name (as shown on contract/invoice) ROC License Number(s)

Horton Enterprises LLC ROC 309645 Street Address City State Zip

PO Box 23384 Phoenix AZ 85063 Phone Number Email

[number redacted] [email redacted] Name of Person(s) Representing License

Dion Horton Jr Contract/Project Information Contract Date Contract Amount Amount Paid

July 13, 2022 $47,662.28 $45,680.38 Date Work Started Date Work Stopped Date Work Was Completed

July 18, 2022 November 11, 2022 Close of Escrow (New Home) Move-In Date (New-Home)

Jobsite Street Address City State Zip

8404 s kachina dr tempe AZ 85212 Name of Construction Site Owner Construction Site Name (if applicable)

April Olson Phone Number of Construction Site Owner Email of Construction Site Owner

[number redacted] [email redacted] This complaint is for Abandonment;Poor Work;Other I have contacted the contractor by Phone/Text;Email Have you filed a complaint in court? No

RCC099 12/05/18 Page 1 of 3 Licensed Complaint Form Departmental Use Only For Current or Suspended Licensees

Has any work been corrected? No

The contract was Written All change orders were Both This project was Residential This project involved Remodel

RCC099 12/05/18 Page 2 of 3 Licensed Complaint Form Departmental Use Only For Current or Suspended Licensees

Steven wade \complainant1\ \complainantd1\

RCC099 12/05/18 Page 3 of 3 DocuSign Envelope ID: 2A817F31-BE71-448E-999C-72B93C7CFEBF

The Contractor and Owner agree on the following:

Work By Room-

Living room work- ● Texture and paint all new work

Outside work- ● Install stucco as needed, texture and paint all new work after windows are closed off ● No hauling

*Demo and hauling are included unless otherwise stated

Contractor shall not be responsible for any other work not described in this contract. DocuSign Envelope ID: 2A817F31-BE71-448E-999C-72B93C7CFEBF

Contract Price-

Payments-

The contract price will be paid as follows:

● Down Payment - Owner shall pay Contractor a down payment of ($4,740) upon signing of this agreement. The down payment shall be DocuSign Envelope ID: 2A817F31-BE71-448E-999C-72B93C7CFEBF

Contract D&D Construction & Home Improvement License # 309645 [email redacted] (602) 714-7535

D&D Construction PO Box 23384 Phoenix, AZ 85063

Changes-

If Owner requests, or one of the parties believes that a change is necessary, then the parties shall comply with the following procedure to reflect a Change in the Work:

Supervision-

Termination-

Project Completion-

Design- DocuSign Envelope ID: 2A817F31-BE71-448E-999C-72B93C7CFEBF

Other Project Notes-

Contract D&D Construction & Home Improvement License # 309645 [email redacted] (602) 714-7535 ● All unused materials furnished by Contractor shall remain the property of Contractor.

Customer Supplied Materials-

Finish Materials-

Contract D&D Construction & Home Improvement License # 309645 [email redacted] (602) 714-7535 Contractor will deliver:

● Granite/Quartz

Owner will deliver:

● See attached excel spreadsheet

*Any missing items will be added through change order.

I have read, understood, and agreed to everything in this contract.

Effective Date and Signature-

● This contract shall become effective on the day it is signed by both parties.

BILL TO

Steven Wade PLEASE PAY DATE 8404 S Kachina Dr 07/07/2022 $40,281.90 Tempe, AZ

THE WORK THE WORK TOTAL COST

After 60 days, estimate prices are subject to change. THE WORK THE WORK TOTAL COST

*Credit or Debit cards TOTAL DUE $40,281.90 THANK YOU. **Paypal: [email redacted]

*3.5% fee charged to final invoice for all credit and debit card payments.

**Please send only as Friends and Family otherwise 2.9% fee will apply.

After 60 days, estimate prices are subject to change. Change Order DocuSign Envelope ID: 3EBB7F26-15A3-40B5-AF27-EBE0B72DEF4F

D&D Construction & Home Improvement License # 309645 [email redacted] (602) 714-7535

This change order is between Steven Wade (Owner) and D&D Construction & Home Improvement (Contractor) on 7/19/22 for the project at 8404 S Kachina Dr. Tempe, AZ.

The Contractor and owner agree on the following changes:

● Change in payment dates as listed below

All change orders are DUE IN FULL at signing, please remit payment through the invoice sent with this document.

7/19/2022 7/21/2022 ____________________ __________ __________________ __________ Contractor Date Owner Date Change Order DocuSign Envelope ID: 5E1034DF-127D-470A-82E2-0C9F9CD5EE3D

D&D Construction & Home Improvement License # 309645 [email redacted] (602) 714-7535

The Contractor and owner agree on the following changes:

Work By Room-

Addition work- ● Relocate ground wire as necessary

All change orders are DUE IN FULL at signing, please remit payment through the invoice sent with this document.

BILL TO

Steven Wade PLEASE PAY DATE 8404 S Kachina Dr 08/19/2022 $250.00 Tempe, AZ

THE WORK THE WORK TOTAL COST

Charges Addition:Electrical Relocate ground wire as necessary (labor only) 250.00 Payment Options: SUBTOTAL 250.00 TAX 0.00 Check TOTAL 250.00

Zelle: [email redacted] TOTAL DUE $250.00 *Credit or Debit cards THANK YOU.

**Paypal: [email redacted]

*3.5% fee charged to final invoice for all credit and debit card payments.

**Please send only as Friends and Family otherwise 2.9% fee will apply.

After 60 days, estimate prices are subject to change. Change Order DocuSign Envelope ID: 96737B5E-F3D0-4047-BF34-C3021622A8C7

D&D Construction & Home Improvement License # 309645 [email redacted] (602) 714-7535

The Contractor and owner agree on the following changes:

Work By Room-

All change orders are DUE IN FULL at signing, please remit payment through the invoice sent with this document. Change Order DocuSign Envelope ID: 96737B5E-F3D0-4047-BF34-C3021622A8C7

D&D Construction & Home Improvement License # 309645 [email redacted] (602) 714-7535

BILL TO

Steven Wade PLEASE PAY DATE 8404 S Kachina Dr 10/19/2022 $2,130.38 Tempe, AZ

THE WORK THE WORK TOTAL COST

Zelle: [email redacted] TOTAL DUE $2,130.38 *Credit or Debit cards THANK YOU.

**Paypal: [email redacted]

*3.5% fee charged to final invoice for all credit and debit card payments.

**Please send only as Friends and Family otherwise 2.9% fee will apply.

After 30 days, estimate prices are subject to change. Change Order DocuSign Envelope ID: 7381E4D5-1132-46E8-BFA1-436DB5A71B13

D&D Construction & Home Improvement License # 309645 [email redacted] (602) 714-7535

The Contractor and owner agree on the following changes:

D&D Construction & Home Improvement License # 309645 [email redacted] (602) 714-7535

All change orders are DUE IN FULL at signing, please remit payment through the invoice sent with this document.

11/18/2022 ____________________ __________ __________________ __________ Contractor Date Owner Date November 20, 2022

Dion Horton D&D Construction & Home Improvement [email redacted]

Dion,

RE: Notice of Intent to Terminate Contract and Seek Recovery of Funds, Costs for Defective Work, and Legal Fees

In order to proceed with the Contract, we make the following demand:

2. You correct the defective work including the tile in the shower area and the crooked walls, you replace the scratched tiles, fix the windows, and replace the scratched and damaged tub fillers.

3. You remove the costs from the Invoice for: one set of French Doors ($827.14) and drywall work in living room ($955.13).

4. You remove the cost for painting/installation of baseboards ($871.33) from the Invoice or you install and paint existing baseboards.

Sincerely,

April Olson and Chris Wade 8404 S. Kachina Drive, Tempe, AZ 85284 11/30/22, 9:17 PM Account Detail - Wells Fargo

Check Details

Item 10 of 48 Show full image Print

Check Number 1410

Date Posted 07/11/22

Check Amount $5,000.00

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Equal Housing Lender

https://connect.secure.wellsfargo.com/accounts/start?p1=yes&SAMLart=AAQBTOoEQCR14WDgSxaU4QNGCHpGcoS1TAQ2wcefIDIbOw1MTPql1A… 1/1 Payment receipt

You paid $250.00 to D&D Construction on 8/25/2022

Invoice no. 1603 Invoice amount $250.00 Total $250.00 No additional transfer fees or taxes apply.

Status Paid Payment method Credit Card Authorization ID MU0106203454

Thank you

D&D Construction +1 [number redacted]

ddconstructionaz.com | [email redacted] PO BOX 23384, Phoneix, AZ 85063

You paid $2,130.38 to D&D Construction on 10/27/2022

Invoice no. 1611 Invoice amount $2,130.38 Total $2,130.38 No additional transfer fees or taxes apply.

Status Paid Payment method Credit Card Authorization ID MS0127757938

Thank you

D&D Construction (602) 714-7535

ddconstructionaz.com | [email redacted] PO BOX 23384, Phoenix, AZ 85063

Steven Wade, Case No. 2022-10867 COMPLAINANT, v. Horton Enterprises LLC ORDER QUASHING CITATION AND DBA: D&D Construction & Home Improvement COMPLAINT License No. ROC 309645, RESPONDENT.

On August 30, 2023, the Registrar mailed a Citation and Complaint in this matter. The Registrar determined that the Citation and Complaint was missing an alleged statutory violation. Therefore, IT IS ORDERED that the August 30, 2023 Citation and Complaint is QUASHED. Respondent must file an Answer within the timeframe set forth in the re-issued Citation and Complaint, even if Respondent previously filed an Answer. Dated September 25, 2023. By: /s/ Erin Johnson Erin Johnson Legal Assistant II Legal Department Arizona Registrar of Contractors Copy mailed via USPS First Class mail September 25, 2023 to:

Respondent(s) Horton Enterprises LLC DBA: D&D Construction & Home Improvement PO Box 23384 Phoenix, AZ 85063

of 2 REGISTRAR OF CONTRACTORS 1700 W. Washington St.– Ste. 105 – Phoenix, AZ 85007-2812 Telephone (602)542-1525 Toll Free (877)692-9762

Lg109 5/21 Respondent(s) Horton Enterprises LLC DBA: D&D Construction & Home Improvement 3744 W. Roanoke Ave. Ste. 6 Phoenix, AZ 85009-1330 Complainant(s) Steven Wade 8404 S. Kachina Dr. Tempe, AZ 85284 Complainant’s Attorney Verrin Kewenvoyouma, Esq. 700 E. Baseline Rd #C-1 Tempe, AZ 85283 Copy sent electronically this same date to: Respondent at email address on record with the Registrar Complainant at email address on record with the Registrar Complainant’s Attorney at email address of record with Registrar Case No. 2022-10867 / EJ

of 2 REGISTRAR OF CONTRACTORS 1700 W. Washington St.– Ste. 105 – Phoenix, AZ 85007-2812 Telephone (602)542-1525 Toll Free (877)692-9762

Lg109 5/21 Mediation Notice

Mediation Services Mediation services are available to the parties. What is Mediation? Mediation is a method of resolving disputes where the parties can end conflict without the expense and time associated with the full administrative process. Who Participates in During mediation, a mediator will attempt to help the Mediation? parties find an optimal solution to the conflict. Both parties must agree to participate in mediation, and both parties must bring a representative to mediation that has full authority to settle the entire matter. Mediation Is Not Neither the Registrar nor the Office of Administrative Mandatory Hearings will penalize a party for not agreeing to mediation. Where do the Parties The parties will meet at the Office of Administrative Meet for Mediation? Hearings to participate in mediation.

The Office of Administrative Hearings is located at 1400 West Washington, Suite 101, Phoenix, Arizona 85007. When does Mediation can occur after the Registrar issues a citation, but Mediation Occur? before the administrative hearing. Why Should Parties Mediation can be an alternative to the full administrative Consider Mediation? process. Mediation is beneficial because it is (1) time- efficient, (2) cost-effective, (3) confidential, and (4) capable of providing flexible solutions to complex problems. How to Request If the parties wish to mediate this case, they must file a Joint Mediation Request for Mediation with the Office of Administrative Hearings. A Joint Request for Mediation is included with this Mediation Notice. REGISTRAR OF CONTRACTORS OF THE STATE OF ARIZONA _________________________ Case No. _______________ COMPLAINANT,

v. JOINT REQUEST FOR MEDIATION _________________________ RESPONDENT.

REQUEST

The parties jointly request that this matter be referred to mediation in the Office of Administrative Hearings (OAH). ☐ This matter is set for hearing on __________________(date). ☐ This matter is not currently set for hearing. MEDIATION AGREEMENT By requesting this mediation and signing below, the parties understand, represent, and agree: 1. The parties are prepared to commence mediation and will be ready for mediation on _____________________(date); 2. The parties will participate in the mediation process in good faith; 3. This request for mediation is not intended to hinder or delay administrative proceedings; 4. No party will contend that the mediation limits the power of OAH and its administrative law judges to conduct an administrative hearing and issue decisions under A.R.S. §§ 41-1092 – 1092.12; 5. The parties will be courteous and respectful throughout the mediation process to all participants; 6. The mediation is completely voluntary and the principal purpose is to allow the parties a full and fair opportunity to discuss settlement; of 3 REGISTRAR OF CONTRACTORS 1700 W. Washington St. Suite 105 – PHOENIX, AZ 85007-2812 Telephone (602)542-1525 1-877-692-9762 7. The mediator may conduct joint and separate meetings with the parties and may suggest resolutions to the parties’ dispute, but the mediator has no authority to impose a settlement upon the parties; 8. The mediation process is confidential. Communications made, material created for or used during, and acts occurring during mediation are confidential and may not be discovered or admitted into evidence in any proceeding except as provided by A.R.S. § 12-2238; 9. The mediator is not subject to service of process or a subpoena to produce evidence or to testify regarding any evidence or occurrence relating to the mediation except as provided in A.R.S. § 12-2238(C); 10. Neither the mediator, nor the Registrar of Contractors, nor the Office of Administrative Hearings is subject to civil liability for any act or omission in connection with any mediation service or activity except for acts involving

intentional misconduct or reckless disregard of a substantial risk of injury to the rights of others; 11. Throughout the mediation process, each party must have a representative present who will have full settlement authority to settle all claims at issue in the administrative

proceeding. 12. The mediation process will terminate when: a. The parties reach settlement; b. The mediator determines that further efforts at mediation are no longer likely

to achieve a settlement; or c. One of the parties withdraws from mediation. _____________________________________ _______________________ Complainant (or representative) Date

_____________________________________ _______________________ Respondent (or representative) Date

of 3 REGISTRAR OF CONTRACTORS 1700 W. Washington St. Suite 105 – PHOENIX, AZ 85007-2812 Telephone (602)542-1525 1-877-692-9762 PREHEARING DISCLOSURE STATEMENT INSTRUCTIONS ***DO NOT SUBMIT THESE INSTRUCTIONS WITH THE PREHEARING DISCLOSURE FORM***

ADMINISTRATIVE RULES A copy of the Arizona Administrative Code’s Rules for the Registrar of Contractors can be located on the Registrar’s Website.

PREHEARING DISCLOSURE REQUIREMENT Under A.A.C. R4-9-118(A), before a hearing, the parties must prepare a disclosure statement. The disclosure statement must contain: • A list of all the witnesses the party will call to testify, including the witnesses’ contact information and a brief description of the subject matter of the witnesses’ expected testimony; and • A list of all the exhibits that the party will use at the hearing.

FILE PREHEARING DISCLOSURE STATEMENTS • The Prehearing Disclosure Statements and Exhibits may be submitted to the Arizona Office of Administrative Hearings using any of the following: • Electronically: https://portal.azoah.com/submission/ • In-Person or by Mail: 1740 West Adams Street, Lower Level, Phoenix, Arizona 85007

EXCHANGING DISCLOSURE STATEMENTS AND EXHIBITS Under A.A.C. R4-9-118(B) (effective November 5, 2017), a party to the hearing must serve on every other party and file with the Office of Administrative Hearings a copy of: • The disclosure statement; and, • Any exhibit that the party will use at the hearing. Service: The disclosure statement and exhibits must be served on all parties in accordance with Arizona Administrative Code R2-19-108 Filing Documents. Under A.A.C. R2-19-108, service is completed by: • Personal delivery; • 1st class, certified or express mail; or • Facsimile. Timing: The disclosure statement and the exhibits must be served and filed not less than seven calendar days before the date of the hearing. Under A.A.C. R2-19-108, a document is served on a party: • On the date it is personally served; • Five days after it is mailed by express or 1st class mail; • On the date of the return receipt if it is mailed by certified mail; or • On the date indicated on the facsimile transmission.

CONSEQUENCES FOR FAILING TO DISCLOSE Under A.A.C. R4-9-108(C), if a witness or an exhibit is not timely disclosed as required the rules, and good cause for the failure to disclose is not shown, then the administrative law judge may: • Order that certain witnesses or exhibits not be used at the hearing; • Order that a particular fact is or is not established for the record; or, • Order that a charge, a defense, a claim, or some portion thereof, be dismissed.

Form RC-L-800A Prehearing Disclosure Statement Rev. 10/08/2019 Instructions Form PREHEARING DISCLOSURE STATEMENT FORM RC-L-800A

PART 1: WITNESS LIST DOCKET NO. Under A.A.C. R4-9-118(A), before a hearing, a party must prepare a disclosure statement containing a list of all the witnesses the party will call to testify, including the witnesses’ contact information and a brief description of the subject matter of the witnesses’ expected testimony. If you need additional space to list all witnesses, complete and attach additional Witness Lists. Example 1. Name 2. Telephone Number 3. Email Address

John Doe (123) 456-7890 [email redacted] 4. Subject Matter of Expected Testimony

John Doe will testify regarding the poor workmanship and poor installation of the Garage Door. Mr. Doe will also testify regarding the invoices and change orders for the project.

Witness 1. Name 2. Telephone Number 3. Email Address

4. Subject Matter of Expected Testimony

Witness 1. Name 2. Telephone Number 3. Email Address

4. Subject Matter of Expected Testimony

Witness 1. Name 2. Telephone Number 3. Email Address

4. Subject Matter of Expected Testimony

Witness 1. Name 2. Telephone Number 3. Email Address

4. Subject Matter of Expected Testimony

Form RC-L-800A Prehearing Disclosure Statement Rev. 1/15/2019 Page 1 of 3 PART 2: EXHIBIT LIST DOCKET NO. Under A.A.C. R4-9-118(A), before a hearing, a party must prepare a disclosure statement containing a list of all the exhibits that the party will use at the hearing. Note: All exhibits listed below must be provided to all parties to the hearing. See A.A.C. R4-9-118(B). If you need additional space to list all witnesses, complete and attach additional Exhibit Lists. Example Contract for new garage door. Invoice #10001 – Cost for garage door replacement.

Exhibit Exhibit Name

Form RC-L-800A Prehearing Disclosure Statement Rev. 1/15/2019 Page 2 of 3 PART 3: ACKNOWLEDGEMENT & SIGNATURE I certify that the above information is true and correct and that I will serve a copy of this disclosure statement and any exhibits listed in Part 2 to all parties to the hearing in accordance with A.A.C. R4-9-118. I acknowledge and understand that if I fail to properly disclose a witness or exhibit, the administrative law judge may: • Order that certain witnesses or exhibits not be used at the hearing; • Order that a particular fact is or is not established for the record; or, • Order that a charge, a defense, a claim, or some portion thereof, be dismissed.

I am the (check one):  Complainant  Respondent Docket No.

Print Name Signature Date

Form RC-L-800A Prehearing Disclosure Statement Rev. 1/15/2019 Page 3 of 3