Displaying 46 - 60 of 1049 results.
Insurance
Enforcement Orders & Actions
Hermalinda Gomez
2.33 MB .pdf

Case Number #: 117415 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Hermalinda Gomez Order and Consent to Order

September 25, 2023
Securities
Enforcement Orders & Actions
Spartan Capital Securities, LLC
2.06 MB .pdf

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

September 25, 2023
Insurance
Enforcement Orders & Actions
Blaine J. Hamlett
1.32 MB .pdf

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

September 7, 2023
Insurance
Enforcement Orders & Actions
Ashley A. Butler
3.72 MB .pdf

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

August 22, 2023
Insurance
Enforcement Orders & Actions
Christopher C. Riley
2.51 MB .pdf

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

August 8, 2023
Insurance
Enforcement Orders & Actions
Anna Kline
2.3 MB .pdf

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

August 3, 2023
Insurance
Enforcement Orders & Actions
Doreen R. Townsend
1.3 MB .pdf

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

July 28, 2023
Securities
Enforcement Orders & Actions
Robinhood Financial LLC
3.41 MB .pdf

Case Number #: 117355 Non-compliance Case: N/A Entity: Broker Dealer Matter: In the Matter of Robinhood Financial LLC Consent Order

July 27, 2023
Insurance
Enforcement Orders & Actions
Tina M. Thiam
1.52 MB .pdf

Case Number #: 112827 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Tina M. Thiam Order and Consent to Order

July 18, 2023
Insurance
Enforcement Orders & Actions
Nathan W. Treibel
426 KB .pdf

Case Number #: 104961 Non-compliance Case: N/A Entity: Producer Matter: Order for Reinstatement After License Suspension Order for Reinstatement After License Suspension

June 20, 2023
Insurance
Enforcement Orders & Actions
Katina Parrish
2.41 MB .pdf

Case Number #: 110432 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Katina Parrish Order Denying License Reissuance After Suspension

May 9, 2023
Insurance
Enforcement Orders & Actions
Mardy Gould
1.36 MB .pdf

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

May 3, 2023
Securities
Enforcement Orders & Actions
Nexo Capital Inc.
906.3 KB .pdf

Case Number #: 116030 Non-compliance Case: N/A Entity: Unlicensed Matter: In the Matter of Nexo Capital Inc. Consent Order

April 11, 2023
Insurance
Enforcement Orders & Actions
Zachary J. Flaherty
1.04 MB .pdf

Case Number #: 110829 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Zachary J. Flaherty Order and Consent to Order

March 30, 2023