Displaying 721 - 735 of 1040 results.
Enforcement Orders & Actions
Kalny, Megan
162.9 KB .pdf

Case Number #: 78211 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Megan Kalny Order Reinstating License After Suspension

April 28, 2014
Enforcement Orders & Actions
Gant, Robert R.
33.41 KB .pdf

Case Number #: 82568 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Robert R. Gant Order for Suspension

April 21, 2014
Enforcement Orders & Actions
Woods, Thomas
199.81 KB .pdf

Case Number #: 82047 Non-compliance Case: No Entity: Producer Matter: In the Matter of Thomas Woods Order of Probationary License

April 14, 2014
Enforcement Orders & Actions
Salgado, Jose
172.19 KB .pdf

Case Number #: 76187 Non-compliance Case: No Entity: Producer Matter: In the Matter of Jose Salgado Order & Consent to Order

April 11, 2014
Enforcement Orders & Actions
Scharingson, Jeffery B.
155 KB .pdf

Case Number #: 82816 Non-compliance Case: No Entity: Investment Adviser Representative, Producer Matter: In the Matter of Jeffery B. Scharingson Order & Consent to Order

April 3, 2014
Enforcement Orders & Actions
McClean, Deanna R.
165.6 KB .pdf

Case Number #: 82371 Non-compliance Case: No Entity: Producer, Securities Agent Matter: In the Matter of Deanna R. McClean Order & Consent to Order

April 2, 2014
Enforcement Orders & Actions
Fisher, John F.
35.73 KB .pdf

Case Number #: 82407 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of John R. Fisher Order for Suspension

March 31, 2014
Enforcement Orders & Actions
Spenny, Samantha L.
108.28 KB .pdf

Case Number #: 82041 Non-compliance Case: No Entity: Producer Matter: In the Matter of Samantha L. Spenny Order & Consent to Order

March 24, 2014
Enforcement Orders & Actions
Jerrick, Rober
123.93 KB .pdf

Case Number #: 72768 Non-compliance Case: No Entity: Producer Matter: In the Matter of Roger Jerrick Order & Consent to Order

March 21, 2014
Enforcement Orders & Actions
Mahoney, Keith
86.08 KB .pdf

Case Number #: 82552 Non-compliance Case: No Entity: Producer Matter: In the Matter of Keith Mahoney Order & Consent to Order

March 20, 2014
Enforcement Orders & Actions
Pontow, Thomas
156.05 KB .pdf

Case Number #: 82638 Non-compliance Case: No Entity: Producer Matter: In the Matter of Thomas Pontow Order & Consent to Order

March 14, 2014
Enforcement Orders & Actions
Continental Casualty Company
156.22 KB .pdf

Case Number #: 82348 Non-compliance Case: No Entity: Insurance Company Matter: In the Matter of Continental Casualty Company Order & Consent to Order

March 10, 2014
Enforcement Orders & Actions
Ciha, Daniel W.
410 KB .pdf

Case Number #: 82538 Non-compliance Case: No Entity: Preneed Sales Agent, Preneed Seller, Unlicensed Matter: In the Matter of Daniel W. Ciha, Colette Ciha Soults and Gay & Gay, Inc. DBA Gay & Ciha Funeral and Cremation Service Cease & Desist Order and Order of Suspension and Notice of Right of Hearing

March 4, 2014
Enforcement Orders & Actions
Carry, Sarah
128.34 KB .pdf

Case Number #: 82451 Non-compliance Case: No Entity: Producer Matter: In the Matter of Sarah Carry Order & Consent to Order

March 3, 2014
Enforcement Orders & Actions
Thompson, Kelly G.
502.76 KB .pdf

Case Number #: 82151 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Kelly G. Thompson Order for Suspension

February 27, 2014