Displaying 541 - 555 of 1095 results.
Enforcement Orders & Actions

Beaman, Sarah E.

406.29 KB .pdf

Case Number #: 75929 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Sarah E. Beaman Order Lifting Suspension After Suspension and Expiration and Order for Suspension

October 17, 2016
Enforcement Orders & Actions

Woock, Casey

791.01 KB .pdf

Case Number #: 91726 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Casey Woock Order Reinstating License After Suspension and Order for Suspension

October 13, 2016
Enforcement Orders & Actions

Rohde, Mark F.

364.61 KB .pdf

Case Number #: 89342 Non-compliance Case: No Matter: In the Matter of Mark F. Rohde Order Placing Decision Under Seal

September 30, 2016
Enforcement Orders & Actions

O'Brien, Travis

972.71 KB .pdf

Case Number #: 91302 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Travis O'Brien Order Reinstating License After Suspension and Order for Suspension

September 16, 2016
Enforcement Orders & Actions

Dencklau, John E.

1.1 MB .pdf

Case Number #: 89967 Non-compliance Case: No Entity: Producer Matter: In the Matter of John E. Dencklau Order Reinstating License After Suspension and Order and Consent to Order

September 12, 2016
Enforcement Orders & Actions

Heifner, Beth

248.56 KB .pdf

Case Number #: 89524 Non-compliance Case: No Entity: Producer Matter: In the Matter of Beth Heifner Order and Consent to Order

September 6, 2016
Enforcement Orders & Actions

Annuity Investors Life Insurance Company

2.05 MB .pdf

Case Number #: 91868 Non-compliance Case: No Entity: Insurance Company Matter: In the Matter of Annuity Investors Life Insurance Company, Great American Life Insurance Company and Manhattan National Life Insurance Company Regulatory Settlement Agreement

August 31, 2016
Enforcement Orders & Actions

Hartford Life and Accident Insurance Company

1.89 MB .pdf

Case Number #: 91864 Non-compliance Case: No Entity: Insurance Company Matter: In the Matter of Hartford Life and Accident Insurance Company, Hartford Life Insurance Company, and Hartford Life and Annuity Insurance Company Regulatory Settlement Agreement

August 31, 2016
Enforcement Orders & Actions

Minnesota Life Insurance Company

1.06 MB .pdf

Case Number #: 91870 Non-compliance Case: No Entity: Insurance Company Matter: In the Matter of Minnesota Life Insurance Company, Securian Life Insurance Company, American Modern Life Insurance Company and Southern Pioneer Life Insurance Company Regulatory Settlement Agreement

August 31, 2016
Enforcement Orders & Actions

Standard Insurance Company

990.53 KB .pdf

Case Number #: 91869 Non-compliance Case: No Entity: Insurance Company Matter: In the Matter of Standard Insurance Company Regulatory Settlement Agreement

August 31, 2016
Enforcement Orders & Actions

Micheal J. McKeon

380.82 KB .pdf

Case Number #: 91471 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Michael J. McKeon Order for Suspension

August 29, 2016
Enforcement Orders & Actions

Micheal J. McKeon

483.56 KB .pdf

Case Number #: 91471 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Michael J. McKeon Order Reinstating License After Suspension

August 29, 2016
Enforcement Orders & Actions

Gardiner, Benny R.

796.93 KB .pdf

Case Number #: 91410 Non-compliance Case: Yes Entity: Securities Agent Matter: In the Matter of Benny R. Gardiner Order Reinstating Securities Agent Registration and Order for Suspension

August 24, 2016
Enforcement Orders & Actions

Gardiner, Benny R.

978.23 KB .pdf

Case Number #: 91410 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Benny R. Gardiner Order Reinstating License After Suspension and Order for Suspension

August 19, 2016
Enforcement Orders & Actions

Wagemann, Andrew

377.57 KB .pdf

Case Number #: 91354 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Andrew Wagemann Order for Suspension

August 18, 2016