Displaying 886 - 900 of 1047 results.
Enforcement Orders & Actions
Logsdon, Richie
50.05 KB .pdf

Case Number #: 77659 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Richie Logsdon Order for Suspension

October 12, 2012
Enforcement Orders & Actions
Atwood, Thomas
50.69 KB .pdf

Case Number #: 77658 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Thomas Atwood Order for Suspension

October 12, 2012
Enforcement Orders & Actions
Lloyd, Timothy
49.5 KB .pdf

Case Number #: 77647 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Timothy Lloyd Order for Suspension

October 11, 2012
Enforcement Orders & Actions
Brown, Russell
49.58 KB .pdf

Case Number #: 77643 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Russell Brown Order for Suspension

October 11, 2012
Enforcement Orders & Actions
Oberly, Linda
49.19 KB .pdf

Case Number #: 77639 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Linda Oberly Order for Suspension

October 11, 2012
Enforcement Orders & Actions
Welte, Douglas E.
115.72 KB .pdf

Case Number #: 78144 Non-compliance Case: No Entity: Producer Matter: In the Matter of Douglas E. Welte Order & Consent to Order

October 8, 2012
Enforcement Orders & Actions
Grillet, Sandy
49.18 KB .pdf

Case Number #: 77536 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Sandy Grillet Order for Suspension

October 1, 2012
Enforcement Orders & Actions
Lacour, Connie
49.33 KB .pdf

Case Number #: 77532 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Connie Lacour Order for Suspension

October 1, 2012
Enforcement Orders & Actions
Abel, Mark E.
49.37 KB .pdf

Case Number #: 77531 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Mark E. Abel Order for Suspension

October 1, 2012
Enforcement Orders & Actions
E*Trade Securities LLC
1.05 MB .pdf

Case Number #: 73961 Non-compliance Case: No Entity: Broker Dealer Matter: In the Matter of E*Trade Securities LLC Administrative Consent Order

September 17, 2012
Enforcement Orders & Actions
Raymond James & Associates, Inc
934.51 KB .pdf

Case Number #: 72282 Non-compliance Case: No Entity: Broker Dealer Matter: In the Matter of RAYMOND JAMES & ASSOCIATES, INC., AND RAYMOND JAMES FINANCIAL SERVICES, INC. Administrative Consent Order

September 17, 2012
Enforcement Orders & Actions
Ellis, James J.
173.66 KB .pdf

Case Number #: 71588 Non-compliance Case: No Entity: Producer Matter: In the Matter of James J. Ellis Order & Consent to Order

August 8, 2011
Enforcement Orders & Actions
Black, Michael
50.92 KB .pdf

Case Number #: 77402 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Michael Black Order for Suspension

September 7, 2012
Enforcement Orders & Actions
Ryder System, Inc.
119.89 KB .pdf

Case Number #: 77799 Non-compliance Case: No Matter: In the Matter of Ryder System, Inc. Order & Consent to Order

September 4, 2012
Enforcement Orders & Actions
Stammer, Terry
160.24 KB .pdf

Case Number #: 77096 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Terry Stammer Order for Suspension; Order Reinstating License After Suspension

August 22, 2012