Displaying 751 - 765 of 1047 results.
Enforcement Orders & Actions
Surber, Ryan C.
483.88 KB .pdf

Case Number #: 81919 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Ryan C. Surber Order for Suspension

February 20, 2014
Enforcement Orders & Actions
Livezey, Scott M.
497.87 KB .pdf

Case Number #: 81929 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Scott M. Livezey Order for Suspension

February 19, 2014
Enforcement Orders & Actions
Family Life Insurance Company
207.4 KB .pdf

Case Number #: 82269 Non-compliance Case: No Entity: Insurance Company Matter: In the Matter of Family Life Insurance Company Order & Consent to Order

February 19, 2014
Enforcement Orders & Actions
Crosser, Kenneth
755.14 KB .pdf

Case Number #: 80240 Non-compliance Case: No Entity: Investment Adviser Representative, Producer, Securities Agent Matter: In the Matter of Kenneth Crosser Order and Consent to Order

February 12, 2014
Enforcement Orders & Actions
Chastang, Jasmine
131.41 KB .pdf

Case Number #: 81328 Non-compliance Case: No Entity: Producer Matter: In the Matter of Jasmine Chastang Default Order

February 6, 2014
Enforcement Orders & Actions
Fyfe, James J.
33.58 KB .pdf

Case Number #: 81866 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of James J. Fyfe Order for Suspension

January 24, 2014
Enforcement Orders & Actions
Ahmed, Saira O.
36.73 KB .pdf

Case Number #: 81816 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Saira O. Ahmed Order for Suspension

January 22, 2014
Enforcement Orders & Actions
Jones, Michael L.
109.96 KB .pdf

Case Number #: 81930 Non-compliance Case: No Entity: Producer Matter: In the Matter of Michael L. Jones Order & Consent Order

January 22, 2014
Enforcement Orders & Actions
Genworth Life Insurance Company
790.96 KB .pdf

Case Number #: 82349 Non-compliance Case: No Entity: Insurance Company Matter: In the Matter of Genworth Life Insurance Co., Genworth Life Annuity Insurance Co., and Genworth Life Insurance Co. of NY Regulatory Settlement Agreement

January 22, 2014
Enforcement Orders & Actions
Lincoln National Life Insurance Company
6.46 MB .pdf

Case Number #: 82023 Non-compliance Case: No Entity: Insurance Company Matter: In the Matter of Lincoln National Life Insurance Co., Lincoln Life & Annuity Co. of NY and First Penn Pacific Life Insurance Co. Regulatory Settlement Agreement

January 21, 2014
Enforcement Orders & Actions
White, Brian M.
33.81 KB .pdf

Case Number #: 81767 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Brian M. White Order for Suspension

January 13, 2014
Enforcement Orders & Actions
Ernst, Cory J.
174.95 KB .pdf

Case Number #: 82230 Non-compliance Case: No Matter: In the Matter of Cory J. Ernst Order & Consent to Order

January 8, 2014
Enforcement Orders & Actions
Roberts, James
183.39 KB .pdf

Case Number #: 78986 Non-compliance Case: No Entity: Investment Adviser Representative, Producer, Securities Agent Matter: In the Matter of James Roberts Order & Consent to Order

December 23, 2013
Enforcement Orders & Actions
Richardson, Tom
134.96 KB .pdf

Case Number #: 80333 Non-compliance Case: No Entity: Producer Matter: In the Matter of Tom Richardson Order & Consent Order

December 30, 2013