Displaying 781 - 795 of 1040 results.
Enforcement Orders & Actions
Stewart, Jeffrey A.
115.35 KB .pdf

Case Number #: 81432 Non-compliance Case: No Entity: Investment Adviser Representative, Producer Matter: In the Matter of Jeffrey A. Stewart Order & Consent to Order

October 15, 2013
Enforcement Orders & Actions
McGregor, Kristine M.
115.48 KB .pdf

Case Number #: 80569 Non-compliance Case: No Entity: Preneed Seller Matter: In the Matter of Kristine M. McGregor Default Order

October 4, 2013
Enforcement Orders & Actions
Transamerica Life Insurance Company
820.16 KB .pdf

Case Number #: 81869 Non-compliance Case: No Entity: Insurance Company Matter: In the Matter of Transamerica Life Insurance Company Regulatory Settlement Agreement

October 3, 2013
Enforcement Orders & Actions
Crawford, Angela L.
120.43 KB .pdf

Case Number #: 80571 Non-compliance Case: No Entity: Preneed Sales Agent Matter: In the Matter of Angela L. Crawford Order & Consent to Order

September 30, 2013
Enforcement Orders & Actions
Broadspire Services Inc
125.38 KB .pdf

Case Number #: 80602 Non-compliance Case: No Entity: Third Party Administrator Matter: In the Matter of Broadspire Services Inc. Order & Consent to Order

September 24, 2013
Enforcement Orders & Actions
Voyager Financial Group, LLC
86.82 KB .pdf

Case Number #: 80240 Non-compliance Case: No Entity: Unlicensed Matter: In the Matter of Voyager Financial Group, LLC and Andrew Paul Gamber Order and Consent to Order and Agreement

September 20, 2013
Enforcement Orders & Actions
Bauer, Debra J.
54.32 KB .pdf

Case Number #: 80039 Non-compliance Case: No Entity: Producer Matter: In the Matter of Debra J. Bauer Proposed Decision

September 12, 2013
Enforcement Orders & Actions
Long, Chris
51.9 KB .pdf

Case Number #: 80030 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Chris Long Order for Suspension

September 10, 2013
Enforcement Orders & Actions
Hibbing, Timothy W.
74.89 KB .pdf

Case Number #: 76938 Non-compliance Case: No Entity: Producer Matter: In the Matter of Timothy W. Hibbing Order & Consent to Order

September 6, 2013
Enforcement Orders & Actions
ING
2.81 MB .pdf

Case Number #: 81254 Non-compliance Case: No Entity: Insurance Company Matter: In the Matter of ING Regulatory Settlement Agreement

August 13, 2013
Enforcement Orders & Actions
Flaherty, Joseph R.
136.08 KB .pdf

Case Number #: 80169 Non-compliance Case: No Entity: Producer Matter: In the Matter of Joseph R. Flaherty Order & Consent to Order

August 30, 2013
Enforcement Orders & Actions
Miller, Todd A.
232.18 KB .pdf

Case Number #: 81223 Non-compliance Case: No Entity: Producer Matter: In the Matter of Todd A. Miller Order of Summary Suspension & Opportunity for Hearing

August 30, 2013
Enforcement Orders & Actions
Garza, Gregorio
51.3 KB .pdf

Case Number #: 80379 Non-compliance Case: Yes Entity: Producer Matter: in the Matter of Gregorio Garza Order for Suspension

August 8, 2013