Displaying 751 - 765 of 1040 results.
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
Enforcement Orders & Actions
Jiles, Vincent
32.85 KB .pdf

Case Number #: 81298 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Vincent Jiles Order for Suspension

December 24, 2013
Enforcement Orders & Actions
Miller, Todd A.
168.28 KB .pdf

Case Number #: 81223 Non-compliance Case: No Entity: Producer Matter: In the Matter of Todd A. Miller Default Order of Revocation, Cease & Desist and Civil Penalty

December 23, 2013
Enforcement Orders & Actions
Huynh, Samantha
99.27 KB .pdf

Case Number #: 78229 Non-compliance Case: No Entity: Producer Matter: In the Matter of Samantha Huynh Proposed Decision

December 18, 2013
Enforcement Orders & Actions
Brown, Kunta L.
34.02 KB .pdf

Case Number #: 81358 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Kunta L. Brown Order for Suspension

December 11, 2013
Enforcement Orders & Actions
UBS Financial Services, Inc
498.52 KB .pdf

Case Number #: 81914 Non-compliance Case: No Entity: Broker Dealer Matter: In the Matter of UBS Financial Services, Inc. Consent Order and Order to Cease and Desist

December 10, 2013
Enforcement Orders & Actions
RBC Capital Markets, LLC
535.47 KB .pdf

Case Number #: 80979 Non-compliance Case: No Entity: Broker Dealer Matter: In the Matter of RBC Capital Markets, LLC Administrative Consent Order

December 5, 2013
Enforcement Orders & Actions
Young, Larry S.
35.93 KB .pdf

Case Number #: 81182 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Larry S. Young Order for Suspension

November 25, 2013