Displaying 826 - 840 of 1076 results.
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

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

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
Enforcement Orders & Actions

Hankins, Catherine

51.44 KB .pdf

Case Number #: 80210 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Catherine Hankins Order for Suspension

August 8, 2013
Enforcement Orders & Actions

McKinney, Jesse

50.94 KB .pdf

Case Number #: 80211 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Jesse McKinney Order for Suspension

August 8, 2013
Enforcement Orders & Actions

TIAA_CREF

1.36 MB .pdf

Case Number #: 81252 Non-compliance Case: No Entity: Insurance Company Matter: In the Matter of TIAA-CREF Regulatory Settlement Agreement

August 1, 2013
Enforcement Orders & Actions

Trucke, Shannon M.

29.35 KB .pdf

Case Number #: 78816 Non-compliance Case: No Entity: Producer Matter: In the Matter of Shannon M. Trucke Default Order

July 31, 2013
Enforcement Orders & Actions

Serati, Stephen

331.23 KB .pdf

Case Number #: 78901 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Stephen Serati Order for Suspension; Order Reinstating License After Suspension

July 30, 2013
Enforcement Orders & Actions

Adkins, Krystal

112.89 KB .pdf

Case Number #: 78263 Non-compliance Case: No Entity: Producer Matter: In the Matter of Krystal Adkins Proposed Decision

July 24, 2013
Enforcement Orders & Actions

Smith, Darrell D.

157.18 KB .pdf

Case Number #: 79798 Non-compliance Case: No Entity: Producer, Securities Agent Matter: In the Matter of Darrell D. Smith Order & Consent to Order and Agreement

July 15, 2013