Enforcement Orders & Actions

Case Number #: 113479 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Frank P. Tarasi Order Denying License Reissuance After Suspension

Case Number #: 114670 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Karen A. Stout Order and Consent to Order

Case Number #: 114006 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Matthew Trueg Order and Consent to Order

Case Number #: 114218 Non-compliance Case: N/A Entity: Securities Agent Matter: In the Matter of Windsor Jones, LLC, Anthony Collins, Elizabeth Parker, and Mark Goodwin Summary Cease and Desist Order

Case Number #: 112825 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Kyle T. Marker Default Order, Findings of Fact, Conclusions of Law and Order

Case Number #: 77643 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Order for Reissuance After License Suspension and Expiration

Case Number #: 114020 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Final Order Issuing an Insurance Producer License on Probation

Case Number #: 113479 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Order and Consent to Order

Case Number #: 112953 Non-compliance Case: No Entity: Broker Dealer Matter: In the Matter of BlockFi Lending LLC Consent Order

Case Number #: 113635 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Brandon L. Blake Order for Suspension

Case Number #: 112185 Non-compliance Case: No Entity: Producer Matter: In the Matter of Brian W. Nelson Order and Consent to Order

Case Number #: 112140 Non-compliance Case: No Entity: Preneed Sales Agent Matter: In the Matter of Aaron Sanders and Sanders Funeral Chapel, Inc. d/b/a Sanders Funeral Services Order and Consent to Or

Non-compliance Case: N/A Entity: Insurance Company Matter: In the Matter of the Certificate of Authority of American Country Insurance Company Order Reinstating Certificate of Authority After Suspension

Non-compliance Case: N/A Entity: Insurance Company Matter: In the Matter of the Certificate of Authority of American Service Insurance Company Order Reinstating Certificate of Authority After Suspension

Non-compliance Case: N/A Entity: Insurance Company Matter: In the Matter of the Certificate of Authority of Gateway Insurance Company Order Reinstating Certificate of Authority After Suspension