Displaying 736 - 750 of 1090 results.
Enforcement Orders & Actions

Schroeder, Melvin

106.97 KB .pdf

Case Number #: 83453 Non-compliance Case: No Entity: Preneed Sales Agent Matter: In the Matter of Melvin Schroeder Order & Consent to Order

June 24, 2014
Enforcement Orders & Actions

J.P. Morgan Securities

721.13 KB .pdf

Case Number #: 84425 Non-compliance Case: No Entity: Broker Dealer Matter: In the Matter of J. P. Morgan Securities, LLC CRD No. 79 Administrative Consent Order

June 23, 2014
Enforcement Orders & Actions

Thomas, Kirk

102.2 KB .pdf

Case Number #: 83456 Non-compliance Case: No Entity: Preneed Sales Agent Matter: In the Matter of Kirk Thomas Order & Consent to Order

June 23, 2014
Enforcement Orders & Actions

Linn, Leonard J.

226.37 KB .pdf

Non-compliance Case: No Entity: Preneed Sales Agent, Preneed Seller Matter: In the Matter of Leonard J. Linn and the Linn's Family Services, Inc. dba Linn's funeral Home & Monument Sales Consent Order

June 19, 2014
Enforcement Orders & Actions

Papich, Michael D.

104.92 KB .pdf

Case Number #: 83335 Non-compliance Case: No Entity: Preneed Sales Agent Matter: In the Matter of Michael D. Papich Order & Consent to Order

June 16, 2014
Enforcement Orders & Actions

Fredregill, Ryan M.

34.88 KB .pdf

Case Number #: 83398 Non-compliance Case: No Entity: Preneed Sales Agent Matter: In the Matter of Ryan M. Fredregill Order of Suspension for Good Cause

June 13, 2014
Enforcement Orders & Actions

Boothby, Michael D.

103.83 KB .pdf

Case Number #: 83394 Non-compliance Case: No Entity: Preneed Sales Agent Matter: In the Matter of Michael D. Boothby Order & Consent to Order

June 12, 2014
Enforcement Orders & Actions

Gaye, Nyaten

78.79 KB .pdf

Case Number #: 83030 Non-compliance Case: No Entity: Producer Matter: In the Matter of Nyaten Gaye Default Order of Revocation, C&D and Civil Penalty

June 12, 2014
Enforcement Orders & Actions

Mikels, Mike

82.77 KB .pdf

Case Number #: 82734 Non-compliance Case: No Entity: Producer Matter: In the Matter of Mike Mikels Default Order of Revocation, C&D and Civil Penalty

June 12, 2014
Enforcement Orders & Actions

Petersen, James R.

34.5 KB .pdf

Case Number #: 83422 Non-compliance Case: No Entity: Preneed Sales Agent Matter: In the Matter of James R. Petersen Order of Suspension for Good Cause

June 12, 2014
Enforcement Orders & Actions

Schultz, Doug A.

36.6 KB .pdf

Case Number #: 83495 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Doug A. Schultz Order for Suspension

June 12, 2014
Enforcement Orders & Actions

Johnson, Karen S.

116.89 KB .pdf

Case Number #: 83415 Non-compliance Case: No Entity: Preneed Sales Agent Matter: In the Matter of Karen S. Johnson Order & Consent to Order

June 9, 2014
Enforcement Orders & Actions

S.K. Rogers Funeral Homes LLC

99.38 KB .pdf

Case Number #: 83337 Non-compliance Case: No Entity: Preneed Seller Matter: In the Matter of S.K. Rogers Funeral Homes LLC Order & Consent to Order

June 9, 2014
Enforcement Orders & Actions

Andrews, Ronald Anthony (Tony)

106.55 KB .pdf

Case Number #: 83390 Non-compliance Case: No Entity: Preneed Sales Agent Matter: In the Matter of Ronald Anthony (Tony) Andrews Order and Consent to Order

May 30, 2014
Enforcement Orders & Actions

Douglas-Henderson, Donna

35.18 KB .pdf

Case Number #: 83396 Non-compliance Case: No Entity: Preneed Sales Agent Matter: In the Matter of Donna Douglas-Henderson Order of Suspension for Good Cause

May 29, 2014