Case Number #: 117258 Non-compliance Case: N/A Entity: Broker Dealer, Investment Advisor Matter: In the Matter of Spartan Capital Securities, LLC Order and Consent to Order
Case Number #: 115703 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Blaine J. Hamlett Default Order, Findings of Fact, Conclusions of Law and Order
Case Number #: 112141
Non-compliance Case: N/A
Entity: Producer
Matter: In the Matter of Ashley A. Butler
Default Order, Findings of Fact, Conclusions of Law and Order
Case Number #: 113573
Non-compliance Case: N/A
Entity: Producer
Matter: In the Matter of Christopher C. Riley
Default Order, Findings of Fact, Conclusions of Law and Order
Case Number #: 115706
Non-compliance Case: N/A
Entity: Producer
Matter: In the Matter of Anna Kline a/k/a Jordana Rae Weber
Default Order, Findings of Fact, Conclusions of Law and Order
Case Number #: 117252
Non-compliance Case: N/A
Entity: Unlicensed
Matter: In the Matter of Charles Winn, LLC, Charlie Jake Smith, Helen Stanley, and Gary Goodman
Summary Cease and Desist Order (not fi
Case Number #: 117427
Non-compliance Case: N/A
Entity: Producer
Matter: In the Matter of Doreen R. Townsend
Order and Consent to Order & Order to Correct July 5, 2023 Order
Case Number #: 104961
Non-compliance Case: N/A
Entity: Producer
Matter: Order for Reinstatement After License Suspension
Order for Reinstatement After License Suspension
Case Number #: 110432
Non-compliance Case: N/A
Entity: Producer
Matter: In the Matter of Katina Parrish
Order Denying License Reissuance After Suspension
Case Number #: 114671
Non-compliance Case: N/A
Entity: Producer
Matter: In the Matter of Mardy Gould
Default Order, Findings of Fact, Conclusions of Law and Order