Displaying 721 - 735 of 1047 results.
Enforcement Orders & Actions
Rosenberg, Misty L.
34.78 KB .pdf

Case Number #: 83431 Non-compliance Case: No Entity: Preneed Sales Agent Matter: In the Matter of Misty L. Rosenberg Order of Suspension for Good Casue

May 7, 2014
Enforcement Orders & Actions
Ameritas Investment Corporation
249.14 KB .pdf

Case Number #: 78986 Non-compliance Case: No Entity: Broker Dealer, Securities Agent Matter: In the Matter of Ameritas Investment Corporation and Ricky Wayne Small Order & Consent to Order

May 5, 2014
Enforcement Orders & Actions
Robert L. and Michelle R. Dugger Funeral Homes LLC
33.91 KB .pdf

Case Number #: 83336 Non-compliance Case: No Entity: Preneed Sales Agent, Preneed Seller Matter: In the Matter of Robert L. and Michelle R. Dugger Funeral Homes, LLC and Robert L. Dugger Order of Suspension for Good Cause as to Seller

May 5, 2014
Enforcement Orders & Actions
Robert L. and Michelle R. Dugger Funeral Homes LLC
37.19 KB .pdf

Case Number #: 83336 Non-compliance Case: No Entity: Preneed Sales Agent, Preneed Seller Matter: In the Matter of Robert L. and Michelle R. Dugger Funeral Homes, LLC and Robert L. Dugger Order of Suspension for Good Cause as to Sales Agent

May 5, 2014
Enforcement Orders & Actions
Waterloo Memorial Park Cemetary
370.86 KB .pdf

Case Number #: 83329 Non-compliance Case: No Entity: Other Matter: In the Matter of Waterloo Memorial Park Cemetery Order to Cease and Desist and Consent to Order

May 2, 2014
Enforcement Orders & Actions
Burke, Brian C.
152.61 KB .pdf

Case Number #: 82518 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Brian C. Burke Order Reinstating Licensee After Suspension

May 1, 2014
Enforcement Orders & Actions
Burke, Brian C.
152.61 KB .pdf

Case Number #: 82518 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Brian C. Burke Order Reinstating License After Suspension & Order for Suspension

May 1, 2014
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