Displaying 481 - 495 of 1095 results.
Enforcement Orders & Actions

Ryder System, Inc., Ryder Truck Rental

26.04 KB .pdf

Non-compliance Case: No Matter: In the Matter of Ryder System, Inc.;Ryder Truck Rental, Inc. D/B/A Ryder Transportation Services; Ryder Integrated Logistics, Inc. Order and Consent to Order

October 24, 2017
Enforcement Orders & Actions

Kelderman, Curtis B.

652.24 KB .pdf

Case Number #: 77651 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Curtis B. Kelderman Order for Reissuance After License Suspension and Expiration and Order for Suspension

October 12, 2017
Enforcement Orders & Actions

Stewart Hinerfeld

208.43 KB .pdf

Case Number #: 95835 Non-compliance Case: No Entity: Investment Adviser Representative Matter: In the Matter of Stewart Hinerfeld Order Granting Waiver of Series 65 Exam

October 6, 2017
Enforcement Orders & Actions

Paul, Rodney L.

1.09 MB .pdf

Case Number #: 94999 Non-compliance Case: No Entity: Producer Matter: In The Matter of Rodney L. Paul Order & Consent to Order

October 2, 2017
Enforcement Orders & Actions

Craig, Bradley D.

663.25 KB .pdf

Case Number #: 95013 Non-compliance Case: No Entity: Producer Matter: In the Matter of Bradley D. Craig Order, Consent to Order, and Agreement to Supervise

September 13, 2017
Enforcement Orders & Actions

Fredregill, Ryan M.

387.5 KB .pdf

Case Number #: 95543 Non-compliance Case: No Entity: Preneed Sales Agent, Preneed Seller Matter: In the Matter of Ryan M. Fredregill and Fredregill Family Funeral Home, Inc. Regulatory Agreement

September 11, 2017
Enforcement Orders & Actions

Matgen, Stephen W.

1.37 MB .pdf

Case Number #: 93324 Non-compliance Case: No Entity: Producer Matter: In the Matter of Stephen W. Matgen Order, Consent to Order, and Agreement to Supervise

September 11, 2017
Enforcement Orders & Actions

Shad N. Clayton

493.95 KB .pdf

Case Number #: 68943 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Shad N. clayton Order For Reissuance After License Suspension and Expiration

September 7, 2017
Enforcement Orders & Actions

Hauptman, Bruce A.

1.21 MB .pdf

Case Number #: 92501 Non-compliance Case: No Entity: Unlicensed Matter: In the Matter of Bruce A. Hauptman Order and Consent to Order

August 4, 2017
Enforcement Orders & Actions

Menough, Nicholas

1.43 MB .pdf

Case Number #: 92291 Non-compliance Case: No Entity: Producer Matter: In the Matter of Nicholas Menough Order Accepting Voluntary Forfeiture and Consent to Order

July 27, 2017
Enforcement Orders & Actions

Ribbens, Nathan T.

1017.06 KB .pdf

Case Number #: 94065 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Nathan T. Ribbens Order Reinstating License After Suspension and Order for Suspension

July 25, 2017
Enforcement Orders & Actions

Forbes, Joshua

477.04 KB .pdf

Case Number #: 94564 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Joshua Forbes Order for Suspension

July 7, 2017
Enforcement Orders & Actions

Hanson, Denae J.

482.62 KB .pdf

Case Number #: 94050 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Denae J. Hanson Order for Suspension

July 7, 2017
Enforcement Orders & Actions

Thompson, Brian T.

470.38 KB .pdf

Case Number #: 94359 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Brian T. Thompson Order for Suspension

July 7, 2017