Displaying 586 - 600 of 1090 results.
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
Enforcement Orders & Actions

Glinsey, Fatammia

134.01 KB .pdf

Case Number #: 88494 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Fatammia Glinsey Order for Suspension

October 29, 2015
Enforcement Orders & Actions

Perrien, Kristine

711.38 KB .pdf

Case Number #: 88403 Non-compliance Case: No Entity: Producer Matter: In the Matter of Kristine Perrien Order & Consent to Order

October 23, 2015
Enforcement Orders & Actions

Jackson, Clarence

128.39 KB .pdf

Case Number #: 88459 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Clarence Jackson Order for Suspension

October 21, 2015
Enforcement Orders & Actions

Lukan, Tina M.

733 KB .pdf

Case Number #: 88218 Non-compliance Case: No Entity: Producer Matter: In the Matter of Tina M. Lukan Order & Consent to Order

October 21, 2015
Enforcement Orders & Actions

Gray, David R.

445.75 KB .pdf

Case Number #: 87457 Non-compliance Case: No Entity: Securities Agent Matter: In the Matter of David R. Gray Regulatory Settlement Agreement

October 20, 2015