Displaying 736 - 750 of 1095 results.
Enforcement Orders & Actions

Pierce, James W.

96.56 KB .pdf

Case Number #: 82901 Non-compliance Case: No Entity: Unlicensed Matter: in the Matter of James W. Pierce Order & Consent Order

July 2, 2014
Enforcement Orders & Actions

Andreasen, Arnie Paul

92.16 KB .pdf

Case Number #: 82902 Non-compliance Case: No Entity: Unlicensed Matter: In the Matter of Arnie Paul Andreasen Summary Cease and Desist Order

June 27, 2014
Enforcement Orders & Actions

Johnson, Courtney L.

103.39 KB .pdf

Case Number #: 83414 Non-compliance Case: No Entity: Preneed Sales Agent Matter: In the Matter of Courtney L. Johnson Order & Consent to Order

June 26, 2014
Enforcement Orders & Actions

Ramsden, Mark A.

96.58 KB .pdf

Case Number #: 83430 Non-compliance Case: No Entity: Preneed Sales Agent Matter: In the Matter of Mark A. Ramsden Order & Consent to Order

June 24, 2014
Enforcement Orders & Actions

Rosenberg, Misty L.

90.4 KB .pdf

Case Number #: 83431 Non-compliance Case: No Entity: Preneed Sales Agent Matter: In the Matter of Misty L. Rosenberg Order & Consent to Order

June 24, 2014
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