Displaying 76 - 90 of 1071 results.
Securities
Enforcement Orders & Actions

Robinhood Financial LLC

3.41 MB .pdf

Case Number #: 117355 Non-compliance Case: N/A Entity: Broker Dealer Matter: In the Matter of Robinhood Financial LLC Consent Order

July 27, 2023
Insurance
Enforcement Orders & Actions

Tina M. Thiam

1.52 MB .pdf

Case Number #: 112827 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Tina M. Thiam Order and Consent to Order

July 18, 2023
Insurance
Enforcement Orders & Actions

Nathan W. Treibel

426 KB .pdf

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

June 20, 2023
Insurance
Enforcement Orders & Actions

Katina Parrish

2.41 MB .pdf

Case Number #: 110432 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Katina Parrish Order Denying License Reissuance After Suspension

May 9, 2023
Insurance
Enforcement Orders & Actions

Mardy Gould

1.36 MB .pdf

Case Number #: 114671 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Mardy Gould Default Order, Findings of Fact, Conclusions of Law and Order

May 3, 2023
Securities
Enforcement Orders & Actions

Nexo Capital Inc.

906.3 KB .pdf

Case Number #: 116030 Non-compliance Case: N/A Entity: Unlicensed Matter: In the Matter of Nexo Capital Inc. Consent Order

April 11, 2023
Regulated Industries
Enforcement Orders & Actions

Jeremy Pitchforth

2.52 MB .pdf

Case Number #: 116723 Non-compliance Case: N/A Entity: Unlicensed Matter: In the Matter of Jeremy Pitchforth and Thielen Family Enterprises Inc. d/b/a Hoffman Schneider &chen Funeral Home Crematory Or

March 30, 2023
Insurance
Enforcement Orders & Actions

Zachary J. Flaherty

1.04 MB .pdf

Case Number #: 110829 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Zachary J. Flaherty Order and Consent to Order

March 30, 2023
Insurance
Enforcement Orders & Actions

Dana Johnson

2.79 MB .pdf

Case Number #: 114667 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Dana Johnson Order and Consent to Order

February 27, 2023
Insurance
Enforcement Orders & Actions

Prenischia Nicholson

1.8 MB .pdf

Case Number #: 112826 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Prenischia Nicholson Default Order, Findings of Fact, Conclusions of Law and Order

February 16, 2023
Insurance
Enforcement Orders & Actions

Gabriel Brooks and Sean Thomas Brooks

3.11 MB .pdf

Case Number #: 115709 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Gabriel Brooks and Sean Thomas Brooks Order and Consent to Order

January 25, 2023
Insurance
Enforcement Orders & Actions

Douglas N. Wilson

2.21 MB .pdf

Case Number #: 115199 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Douglas N. Wilson Order and Consent to Order

January 24, 2023
Insurance
Enforcement Orders & Actions

Michael B. Parks

4.41 MB .pdf

Case Number #: 114669 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Michael B. Parks Default Order, Findings of Fact, Conclusions of Law and Order

January 17, 2023
Insurance
Enforcement Orders & Actions

Nathan W. Treibel and Anthony Peck

1.45 MB .pdf

Case Number #: 104961 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Nathan W. Treibel and Anthony Peck Findings of Fact, Conclusions of Law and Final Order

January 12, 2023
Insurance
Enforcement Orders & Actions

Eldon L. Neighbor

1.11 MB .pdf

Case Number #: 104101 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Eldon L. Neighbor Order For Reissuance After License Revocation and Expiration

January 4, 2023