Displaying 781 - 795 of 1047 results.
Enforcement Orders & Actions
Ouverson, Neil L.
137.68 KB .pdf

Case Number #: 80075 Non-compliance Case: No Entity: Producer Matter: In the Matter of Neil L. Ouverson Order & Consent to Order

October 30, 2013
Enforcement Orders & Actions
New York Life Insurance Company
2.56 MB .pdf

Case Number #: 81680 Non-compliance Case: No Entity: Insurance Company Matter: In the Matter of New York Life Insurance Company, New York Life Insurance and Annuity Corporation, and NYLife Insurance Company of Arizona Regulatory Settlement Agreement

October 29, 2013
Enforcement Orders & Actions
Gilliatt, Lindsay
97.1 KB .pdf

Case Number #: 81327 Non-compliance Case: No Entity: Producer Matter: In the Matter of Lindsay Gilliatt Order & Consent to Order

October 28, 2013
Enforcement Orders & Actions
McKinnon, Justin
30.47 KB .pdf

Case Number #: 80196 Non-compliance Case: No Entity: Producer Matter: In the Matter of Justin McKinnon Default Order

October 25, 2013
Enforcement Orders & Actions
Midland National Life Insurance Company
6.02 MB .pdf

Case Number #: 81679 Non-compliance Case: No Entity: Insurance Company Matter: In the Matter of Midland National Life Insurance Company and North American For Life and Health Insurance Regulatory Settlement Agreement

October 23, 2014
Enforcement Orders & Actions
Hjelmland, Bjorn
148.36 KB .pdf

Case Number #: 76675 Non-compliance Case: No Entity: Producer Matter: In the Matter of Bjorn Hjelmland Proposed Decision

October 23, 2013
Enforcement Orders & Actions
Wickham, Eric A.
134.88 KB .pdf

Case Number #: 80632 Non-compliance Case: No Entity: Producer Matter: In the Matter of Eric A. Wickham Order & Consent to Order

October 17, 2013
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