Displaying 871 - 885 of 1047 results.
Enforcement Orders & Actions
Hancock, John
1.43 MB .pdf

Case Number #: 78590 Non-compliance Case: No Entity: Insurance Company Matter: In the Matter of John Hancock Regulatory Settlement Agreement

November 9, 2012
Enforcement Orders & Actions
Peppard, Justin
53.53 KB .pdf

Case Number #: 77735 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Justin Peppard Order for Suspension

November 16, 2012
Enforcement Orders & Actions
ProEquities, Inc
416.7 KB .pdf

Case Number #: 77065 Non-compliance Case: No Entity: Broker Dealer Matter: In the Matter of ProEquities, Inc. Administrative Consent Order

November 16, 2012
Enforcement Orders & Actions
Sessions, Christopher
67.26 KB .pdf

Case Number #: 78212 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Christopher Sessions Order for Suspension

November 13, 2012
Enforcement Orders & Actions
Rowell, David
56.84 KB .pdf

Case Number #: 78186 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of David Rowell Order for Suspension

November 13, 2012
Enforcement Orders & Actions
Madsen, Aaron
57.5 KB .pdf

Case Number #: 78095 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Aaron Madsen Order for Suspension

November 9, 2012
Enforcement Orders & Actions
Lickiss, Stephen
58.47 KB .pdf

Case Number #: 77483 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Stephen Lickiss Order for Suspension

November 9, 2012
Enforcement Orders & Actions
Bankers Life and Casualty Company
726.38 KB .pdf

Case Number #: 77064 Non-compliance Case: No Entity: Unlicensed Matter: In the Matter of BANKERS LIFE AND CASUALTY COMPANY and BLC FINANCIAL SERVICES, INC. Administrative Consent Order

November 6, 2012
Enforcement Orders & Actions
Fitzgibbon, Joseph
160.9 KB .pdf

Case Number #: 77656 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Joseph Fitzgibbon Order for Suspension; Order Reinstating License After Suspension

October 26, 2012
Enforcement Orders & Actions
Kapp, Charles
49.9 KB .pdf

Case Number #: 77724 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Charles Kapp Order for Suspension

October 24, 2012
Enforcement Orders & Actions
AGC Life Insurance Company
564.83 KB .pdf

Case Number #: 78365 Non-compliance Case: No Entity: Insurance Company Matter: In the Matter of American International Group, Inc. Regulatory Settlement Agreement

October 22, 2012
Enforcement Orders & Actions
Nationwide Financial Services, Inc
1.63 MB .pdf

Case Number #: 78284 Non-compliance Case: No Entity: Insurance Company Matter: In the Matter of Nationwide Financial Services, Inc., Nationwide Life Insurance Company, Nationwide Life and Annuity Insurance Company, Nationwide Life Insurance Company of America and Nationwide Life and Annuity Insurance Company of America Regulatory Settlement Agreement

October 15, 2012
Enforcement Orders & Actions
Schmidt, Jeffrey
49.92 KB .pdf

Case Number #: 77652 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Jeffrey Schmidt Order for Suspension

October 12, 2012
Enforcement Orders & Actions
Kelderman, Curtis
50.56 KB .pdf

Case Number #: 77651 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Curtis Kelderman Order for Suspension

October 12, 2012