Displaying 556 - 570 of 1071 results.
Enforcement Orders & Actions

Lampe, Eric W.

415.92 KB .pdf

Case Number #: 89744 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Eric W. Lampe Order for Suspension

April 18, 2016
Enforcement Orders & Actions

Sylvester, Jennifer L.

417.64 KB .pdf

Case Number #: 89538 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Jennifer Sylvester Order for Suspension

April 14, 2016
Enforcement Orders & Actions

Miller, David J.

664.46 KB .pdf

Case Number #: 88960 Non-compliance Case: Yes Entity: Producer Matter: In the matter of David J. Miller Order Reinstating License After Suspension & Order for Suspension

April 5, 2016
Enforcement Orders & Actions

Borcherding, Cory J.

1.17 MB .pdf

Case Number #: 86403 Non-compliance Case: No Entity: Producer Matter: In the Matter of Cory J. Borcherding Order and Consent to Order

March 25, 2016
Enforcement Orders & Actions

Wingerd, Matthew G.

616.5 KB .pdf

Case Number #: 89088 Non-compliance Case: No Entity: Producer Matter: In the Matter of Matthew G. Wingerd Findings of Fact, Conclusions of Law and Order of Suspension, Special Conditions of Licensure and Other Relief

March 21, 2016
Enforcement Orders & Actions

Hagin, Robert P.

94.14 KB .pdf

Case Number #: 89352 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Robert P. Hagin Order for Suspension

February 19, 2016
Enforcement Orders & Actions

Carroll, Kristina M.

1.01 MB .pdf

Case Number #: 89387 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Kristina M. Carroll Order Reinstating License After Suspension & Order for Suspension

January 19, 2016
Enforcement Orders & Actions

Newburn, Kenneth B.

808.89 KB .pdf

Case Number #: 89034 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Kenneth B. Newburn Order Reinstating License After Suspension & Order for Suspension

January 6, 2016
Enforcement Orders & Actions

LPL Financial LLC

2.34 MB .pdf

Case Number #: 88827 Non-compliance Case: No Entity: Broker Dealer Matter: In the Matter of LPL Financial LLC Consent Order

January 5, 2016
Enforcement Orders & Actions

AXA Equitable Life Insurance Company

3.6 MB .pdf

Case Number #: 89608 Non-compliance Case: No Entity: Insurance Company Matter: In the Matter of AXA Equitable Life Insurance Co., AXA Equitable Life & Annuity Co., and MONY Life Insurance Co. Regulatory Settlement Agreement

December 18, 2015
Enforcement Orders & Actions

Bunch, Stephen M.

403.53 KB .pdf

Case Number #: 88679 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Stephen M. Bunch Order Reinstating License After Suspension & Order for Suspension

December 10, 2015
Enforcement Orders & Actions

Gentry, Christopher J.

402.59 KB .pdf

Case Number #: 88881 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Christopher J. Gentry Order Reinstating License After Suspension & Order for Suspension

December 8, 2015
Enforcement Orders & Actions

Bock, Jason

335.11 KB .pdf

Case Number #: 88848 Non-compliance Case: Yes Entity: Producer Matter: In the Matter Jason Bock Order for Suspension

December 1, 2015
Enforcement Orders & Actions

Citigroup Global Markets Inc

312.61 KB .pdf

Case Number #: 87635 Non-compliance Case: No Entity: Broker Dealer Matter: In the Matter of Citigroup Global Markets Inc. Administrative Consent Order

November 25, 2015