Displaying 586 - 600 of 1095 results.
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
Enforcement Orders & Actions

Mark A. Schroder

131.42 KB .pdf

Case Number #: 88815 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Mark A. Schroder Order for Suspension

November 25, 2015
Enforcement Orders & Actions

Siroky, Pamela

1.14 MB .pdf

Case Number #: 85165 Non-compliance Case: No Entity: Producer Matter: In the Matter of Pamela Siroky Order & Consent Order

November 24, 2015
Enforcement Orders & Actions

Speck, Jason

97.97 KB .pdf

Case Number #: 84481 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Jason Speck Order Reinstating License After Suspension and Order for Suspension

November 24, 2015
Enforcement Orders & Actions

Jean-Baptiste, Giovanni R.

144 KB .pdf

Case Number #: 85601 Non-compliance Case: No Entity: Producer Matter: In the Matter of Giovanni R. Jean-Baptiste Final Order of Revocation, Cease and Desist and Civil Penalty

November 6, 2015
Enforcement Orders & Actions

Penman, Cindy L.

160.02 KB .pdf

Case Number #: 88890 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Cindy L. Penman Order for Suspension

November 4, 2015
Enforcement Orders & Actions

Brooke Life Insurance Company

1.55 MB .pdf

Case Number #: 89182 Non-compliance Case: No Entity: Insurance Company Matter: In the Matter of Brooke Life Insurance Co., Jackson National Life Insurance Co., and Jackson National Life Insurance Co. of NY Regulatory Settlement Agreement

October 30, 2015