Displaying 721 - 735 of 1085 results.
Enforcement Orders & Actions

Cummings, Ryan C.

33.71 KB .pdf

Case Number #: 83506 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Ryan C. Cummings Order for Suspension

July 15, 2014
Enforcement Orders & Actions

Behner, Fred A.

95.74 KB .pdf

Case Number #: 83393 Non-compliance Case: No Entity: Preneed Sales Agent Matter: In the Matter of Fred A. Behner Order & Consent to Order

July 11, 2014
Enforcement Orders & Actions

Memorial Park Services, Inc

115.37 KB .pdf

Case Number #: 84537 Non-compliance Case: No Entity: Preneed Seller Matter: In the Matter of Memorial Park Services, Inc., and Sandra L. Armstrong Consent Order and Notice of Right to Hearing

July 7, 2014
Enforcement Orders & Actions

Sanders, Aaron

113.6 KB .pdf

Case Number #: 83417 Non-compliance Case: No Entity: Preneed Sales Agent Matter: In the Matter of Aaron Sanders Order & Consent to Order

July 7, 2014
Enforcement Orders & Actions

Wubben, Richard F.

105.94 KB .pdf

Case Number #: 83542 Non-compliance Case: No Entity: Producer Matter: In the Matter of Richard F. Wubben Order & Consent to Order

July 7, 2014
Enforcement Orders & Actions

Pierce, James W.

96.56 KB .pdf

Case Number #: 82901 Non-compliance Case: No Entity: Unlicensed Matter: in the Matter of James W. Pierce Order & Consent Order

July 2, 2014
Enforcement Orders & Actions

Andreasen, Arnie Paul

92.16 KB .pdf

Case Number #: 82902 Non-compliance Case: No Entity: Unlicensed Matter: In the Matter of Arnie Paul Andreasen Summary Cease and Desist Order

June 27, 2014
Enforcement Orders & Actions

Johnson, Courtney L.

103.39 KB .pdf

Case Number #: 83414 Non-compliance Case: No Entity: Preneed Sales Agent Matter: In the Matter of Courtney L. Johnson Order & Consent to Order

June 26, 2014
Enforcement Orders & Actions

Ramsden, Mark A.

96.58 KB .pdf

Case Number #: 83430 Non-compliance Case: No Entity: Preneed Sales Agent Matter: In the Matter of Mark A. Ramsden Order & Consent to Order

June 24, 2014
Enforcement Orders & Actions

Rosenberg, Misty L.

90.4 KB .pdf

Case Number #: 83431 Non-compliance Case: No Entity: Preneed Sales Agent Matter: In the Matter of Misty L. Rosenberg Order & Consent to Order

June 24, 2014
Enforcement Orders & Actions

Schroeder, Melvin

106.97 KB .pdf

Case Number #: 83453 Non-compliance Case: No Entity: Preneed Sales Agent Matter: In the Matter of Melvin Schroeder Order & Consent to Order

June 24, 2014
Enforcement Orders & Actions

J.P. Morgan Securities

721.13 KB .pdf

Case Number #: 84425 Non-compliance Case: No Entity: Broker Dealer Matter: In the Matter of J. P. Morgan Securities, LLC CRD No. 79 Administrative Consent Order

June 23, 2014
Enforcement Orders & Actions

Thomas, Kirk

102.2 KB .pdf

Case Number #: 83456 Non-compliance Case: No Entity: Preneed Sales Agent Matter: In the Matter of Kirk Thomas Order & Consent to Order

June 23, 2014
Enforcement Orders & Actions

Linn, Leonard J.

226.37 KB .pdf

Non-compliance Case: No Entity: Preneed Sales Agent, Preneed Seller Matter: In the Matter of Leonard J. Linn and the Linn's Family Services, Inc. dba Linn's funeral Home & Monument Sales Consent Order

June 19, 2014
Enforcement Orders & Actions

Papich, Michael D.

104.92 KB .pdf

Case Number #: 83335 Non-compliance Case: No Entity: Preneed Sales Agent Matter: In the Matter of Michael D. Papich Order & Consent to Order

June 16, 2014