Displaying 691 - 705 of 1047 results.
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
Enforcement Orders & Actions
Fredregill, Ryan M.
34.88 KB .pdf

Case Number #: 83398 Non-compliance Case: No Entity: Preneed Sales Agent Matter: In the Matter of Ryan M. Fredregill Order of Suspension for Good Cause

June 13, 2014
Enforcement Orders & Actions
Schultz, Doug A.
36.6 KB .pdf

Case Number #: 83495 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Doug A. Schultz Order for Suspension

June 12, 2014
Enforcement Orders & Actions
Mikels, Mike
82.77 KB .pdf

Case Number #: 82734 Non-compliance Case: No Entity: Producer Matter: In the Matter of Mike Mikels Default Order of Revocation, C&D and Civil Penalty

June 12, 2014
Enforcement Orders & Actions
Gaye, Nyaten
78.79 KB .pdf

Case Number #: 83030 Non-compliance Case: No Entity: Producer Matter: In the Matter of Nyaten Gaye Default Order of Revocation, C&D and Civil Penalty

June 12, 2014
Enforcement Orders & Actions
Johnson, Karen S.
116.89 KB .pdf

Case Number #: 83415 Non-compliance Case: No Entity: Preneed Sales Agent Matter: In the Matter of Karen S. Johnson Order & Consent to Order

June 9, 2014
Enforcement Orders & Actions
S.K. Rogers Funeral Homes LLC
99.38 KB .pdf

Case Number #: 83337 Non-compliance Case: No Entity: Preneed Seller Matter: In the Matter of S.K. Rogers Funeral Homes LLC Order & Consent to Order

June 9, 2014
Enforcement Orders & Actions
Boothby, Michael D.
103.83 KB .pdf

Case Number #: 83394 Non-compliance Case: No Entity: Preneed Sales Agent Matter: In the Matter of Michael D. Boothby Order & Consent to Order

June 12, 2014
Enforcement Orders & Actions
Andrews, Ronald Anthony (Tony)
106.55 KB .pdf

Case Number #: 83390 Non-compliance Case: No Entity: Preneed Sales Agent Matter: In the Matter of Ronald Anthony (Tony) Andrews Order and Consent to Order

May 30, 2014