Displaying 676 - 690 of 1040 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
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
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
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
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
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
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
Enforcement Orders & Actions
Petersen, James R.
34.5 KB .pdf

Case Number #: 83422 Non-compliance Case: No Entity: Preneed Sales Agent Matter: In the Matter of James R. Petersen Order of Suspension for Good Cause

June 12, 2014