Enforcement Orders & Actions

Case Number #: 88960 Non-compliance Case: Yes Entity: Producer Matter: In the matter of David J. Miller Order Reinstating License After Suspension & Order for Suspension

Case Number #: 89632 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Lord Stephen A. Range Order Reinstating License After Suspension and Order for Suspension

Case Number #: 86403 Non-compliance Case: No Entity: Producer Matter: In the Matter of Cory J. Borcherding Order and Consent to Order

Non-compliance Case: No Entity: Insurance Company Matter: In the Matter of the Certificate of Authority of Affirmative Insurance Company Summary Order of Suspension

Case Number #: 89873 Non-compliance Case: No Entity: Business Entity Producer, Producer Matter: In the Matter of Matthew B. Panzer Order and Consent to Order

Case Number #: 89088 Non-compliance Case: No Entity: Producer Matter: In the Matter of Matthew G. Wingerd Findings of Fact, Conclusions of Law and Order of Suspension, Special Conditions of Licensure and Other Relief

Case Number #: 89352 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Robert P. Hagin Order for Suspension

Case Number #: 89387 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Kristina M. Carroll Order Reinstating License After Suspension & Order for Suspension

Case Number #: 89034 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Kenneth B. Newburn Order Reinstating License After Suspension & Order for Suspension

Case Number #: 88827 Non-compliance Case: No Entity: Broker Dealer Matter: In the Matter of LPL Financial LLC Consent Order

Case Number #: 89608 Non-compliance Case: No Entity: Insurance Company Matter: In the Matter of AXA Equitable Life Insurance Co., AXA Equitable Life & Annuity Co., and MONY Life Insurance Co. Regulatory Settlement Agreement

Case Number #: 88679 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Stephen M. Bunch Order Reinstating License After Suspension & Order for Suspension

Case Number #: 88881 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Christopher J. Gentry Order Reinstating License After Suspension & Order for Suspension

Case Number #: 88848 Non-compliance Case: Yes Entity: Producer Matter: In the Matter Jason Bock Order for Suspension

Case Number #: 87635 Non-compliance Case: No Entity: Broker Dealer Matter: In the Matter of Citigroup Global Markets Inc. Administrative Consent Order