Enforcement Orders & Actions

Case Number #: 120593 Non-compliance Case: N/A Entity: Unlicensed Matter: In the Matter of Iowa Area Funeral Services, LLC d/b/a Warner Funeral Home & Crematory Order and Consent to Order

Case Number #: 105053 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Abul H. Zubair Order Denying Nonresident Insurance Producer License Reissuance After Suspension

Case Number #: 104961 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Anthony Peck Order for Reinstatement After License Suspension

Case Number #: 118879 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Alessandro C. Marsh f/k/a Samuel Campbell Marsh Order and Consent to Order

Case Number #: 120460 Non-compliance Case: N/A Matter: In the Matter of TradeStation Crypto, Inc. Order and Consent to Order

Case Number #: 115705 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Tara Foley Default Order, Findings of Fact, Conclusions of Law and Order

Case Number #: 117422 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Gregory M. Stoll Default Order, Findings of Fact, Conclusions of Law and Order

Case Number #: 117420 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Timothy D. Seils and Scott R. Kundel Order and Consent to Order

Case Number #: 119132 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Joseph M. Drahozal Order and Consent to Order

Case Number #: 117203 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Alvin Joseph Brideau Default Order, Findings of Fact, Conclusions of Law and Order

Case Number #: 117419 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Mallorie Sanchez Default Order, Findings of Fact, Conclusions of Law and Order

Case Number #: 118915 Matter: In the Matter of True Bullion, LLC d/b/a Gold Silver International Exchange d/b/a GSI Exchange, and Anthony Allen Anderson Order and Consent to Order

Case Number #: 117415 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Hermalinda Gomez Order and Consent to Order

Case Number #: 117258 Non-compliance Case: N/A Entity: Broker Dealer, Investment Advisor Matter: In the Matter of Spartan Capital Securities, LLC Order and Consent to Order

Case Number #: 115703 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Blaine J. Hamlett Default Order, Findings of Fact, Conclusions of Law and Order