Displaying 766 - 780 of 1047 results.
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
Enforcement Orders & Actions
Williams, Melissa I.
95.24 KB .pdf

Case Number #: 75939 Non-compliance Case: No Entity: Producer Matter: In the Matter of Melissa I. Williams Default Order

November 25, 2013
Enforcement Orders & Actions
Petefish, Daniel
99.98 KB .pdf

Case Number #: 79326 Non-compliance Case: No Entity: Producer Matter: In the Matter of Daniel Petefish Default Order

November 21, 2013
Enforcement Orders & Actions
Rooker, Andrew W.
33.44 KB .pdf

Case Number #: 81209 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Andrew W. Rooker Order for Suspension

November 15, 2013
Enforcement Orders & Actions
Schroder, Mark A.
147.97 KB .pdf

Case Number #: 80745 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Mark A. Schroder Order Reinstating License After Suspension; Order for Suspension 

November 13, 2013
Enforcement Orders & Actions
Schoian, John P.
528.6 KB .pdf

Case Number #: 81547 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of John P. Sharoian Order for Suspension

November 12, 2013
Enforcement Orders & Actions
Ege Jr., John L.
131.72 KB .pdf

Case Number #: 81007 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of John L. Ege Jr. Order Reinstating License After Suspension and Suspension Order

November 4, 2013
Enforcement Orders & Actions
Krieg, Katherine A.
116.76 KB .pdf

Case Number #: 80581 Non-compliance Case: No Entity: Preneed Sales Agent Matter: In the Matter of Katherine A. Krieg Proposed Decision

November 4, 2013
Enforcement Orders & Actions
Cross, Jared M.
100.89 KB .pdf

Case Number #: 80570 Non-compliance Case: No Entity: Preneed Sales Agent Matter: In the Matter of Jared M. Cross Default Order

November 1, 2013