Displaying 541 - 555 of 1047 results.
Enforcement Orders & Actions
Newburn, Kenneth B.
808.89 KB .pdf

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

January 6, 2016
Enforcement Orders & Actions
LPL Financial LLC
2.34 MB .pdf

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

January 5, 2016
Enforcement Orders & Actions
AXA Equitable Life Insurance Company
3.6 MB .pdf

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

December 18, 2015
Enforcement Orders & Actions
Bunch, Stephen M.
403.53 KB .pdf

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

December 10, 2015
Enforcement Orders & Actions
Gentry, Christopher J.
402.59 KB .pdf

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

December 8, 2015
Enforcement Orders & Actions
Bock, Jason
335.11 KB .pdf

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

December 1, 2015
Enforcement Orders & Actions
Citigroup Global Markets Inc
312.61 KB .pdf

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

November 25, 2015
Enforcement Orders & Actions
Mark A. Schroder
131.42 KB .pdf

Case Number #: 88815 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Mark A. Schroder Order for Suspension

November 25, 2015
Enforcement Orders & Actions
Siroky, Pamela
1.14 MB .pdf

Case Number #: 85165 Non-compliance Case: No Entity: Producer Matter: In the Matter of Pamela Siroky Order & Consent Order

November 24, 2015
Enforcement Orders & Actions
Speck, Jason
97.97 KB .pdf

Case Number #: 84481 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Jason Speck Order Reinstating License After Suspension and Order for Suspension

November 24, 2015
Enforcement Orders & Actions
Jean-Baptiste, Giovanni R.
144 KB .pdf

Case Number #: 85601 Non-compliance Case: No Entity: Producer Matter: In the Matter of Giovanni R. Jean-Baptiste Final Order of Revocation, Cease and Desist and Civil Penalty

November 6, 2015
Enforcement Orders & Actions
Penman, Cindy L.
160.02 KB .pdf

Case Number #: 88890 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Cindy L. Penman Order for Suspension

November 4, 2015
Enforcement Orders & Actions
Brooke Life Insurance Company
1.55 MB .pdf

Case Number #: 89182 Non-compliance Case: No Entity: Insurance Company Matter: In the Matter of Brooke Life Insurance Co., Jackson National Life Insurance Co., and Jackson National Life Insurance Co. of NY Regulatory Settlement Agreement

October 30, 2015
Enforcement Orders & Actions
Glinsey, Fatammia
134.01 KB .pdf

Case Number #: 88494 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Fatammia Glinsey Order for Suspension

October 29, 2015
Enforcement Orders & Actions
Perrien, Kristine
711.38 KB .pdf

Case Number #: 88403 Non-compliance Case: No Entity: Producer Matter: In the Matter of Kristine Perrien Order & Consent to Order

October 23, 2015