Enforcement Orders & Actions

Case Number #: 69614 Non-compliance Case: No Entity: Producer Matter: In the Matter of Steven Krier Order and Consent to Order

Case Number #: 69614 Non-compliance Case: No Entity: Producer Matter: In the Matter of Ryan Feeck Order and Consent to Order

Case Number #: 68806 Non-compliance Case: No Entity: Unlicensed Matter: In the Matter of Prosapia Financial LLC; Prosapia Capital Management LLC; Alan Lucas; Robyn Renee Palmer Cease and Desist Order; Proposed Decision

Case Number #: 66623 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Michael Blake Order for Suspension; Order Reinstating License After Suspension

Case Number #: 69735 Non-compliance Case: No Matter: In the Matter of Dana Howard Order and Consent to Order

Case Number #: 10DOCID023 Non-compliance Case: No Entity: Producer Matter: In the Matter of Alven Nguyen   Proposed Decision; Appeal Decision

Case Number #: 66957 Non-compliance Case: No Entity: Investment Adviser Representative, Producer Matter: In the Matter of Covenant Benefits, Inc. a/k/a Covenant Advisors and Noah James Aulwes a/k/a Tom Lee Aulwes a/k/a Thomas Lee Aulwes Order and Consent to Order and Agreement 

Non-compliance Case: No Entity: Insurance Company Matter: In the Matter of Conseco Life Insurance Company, et al. Regulatory Settlement Agreement

Case Number #: 67013 Non-compliance Case: No Entity: Preneed Sales Agent Matter: In the Matter of Jill White Consent Order and Dismissal Order

Case Number #: 50976 Non-compliance Case: No Entity: Producer Matter: Waters Jason R. Order and Consent to Order

Case Number #: 58862 Non-compliance Case: No Entity: Producer Matter: In the Matter of Joyce B. Thomas Order & Consent to Order

Non-compliance Case: No Entity: Unlicensed Matter: Extraordinary Films aka Extraordinary Media Group Ltd; Perioxide Pictures LLC; Van Slee Andrew   San Diego CA Beverly Hills CA Chula Vista CA Allegation: Selling unregistered securities Resolution: Order: Cease and desist the offer or sale of unregistered securities Date of Order/Settlement: 2004-04-27