Displaying 751 - 765 of 1076 results.
Enforcement Orders & Actions

Rosenberg, Misty L.

34.78 KB .pdf

Case Number #: 83431 Non-compliance Case: No Entity: Preneed Sales Agent Matter: In the Matter of Misty L. Rosenberg Order of Suspension for Good Casue

May 7, 2014
Enforcement Orders & Actions

Ameritas Investment Corporation

249.14 KB .pdf

Case Number #: 78986 Non-compliance Case: No Entity: Broker Dealer, Securities Agent Matter: In the Matter of Ameritas Investment Corporation and Ricky Wayne Small Order & Consent to Order

May 5, 2014
Enforcement Orders & Actions

Robert L. and Michelle R. Dugger Funeral Homes LLC

33.91 KB .pdf

Case Number #: 83336 Non-compliance Case: No Entity: Preneed Sales Agent, Preneed Seller Matter: In the Matter of Robert L. and Michelle R. Dugger Funeral Homes, LLC and Robert L. Dugger Order of Suspension for Good Cause as to Seller

May 5, 2014
Enforcement Orders & Actions

Robert L. and Michelle R. Dugger Funeral Homes LLC

37.19 KB .pdf

Case Number #: 83336 Non-compliance Case: No Entity: Preneed Sales Agent, Preneed Seller Matter: In the Matter of Robert L. and Michelle R. Dugger Funeral Homes, LLC and Robert L. Dugger Order of Suspension for Good Cause as to Sales Agent

May 5, 2014
Enforcement Orders & Actions

Waterloo Memorial Park Cemetary

370.86 KB .pdf

Case Number #: 83329 Non-compliance Case: No Entity: Other Matter: In the Matter of Waterloo Memorial Park Cemetery Order to Cease and Desist and Consent to Order

May 2, 2014
Enforcement Orders & Actions

Burke, Brian C.

152.61 KB .pdf

Case Number #: 82518 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Brian C. Burke Order Reinstating Licensee After Suspension

May 1, 2014
Enforcement Orders & Actions

Burke, Brian C.

152.61 KB .pdf

Case Number #: 82518 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Brian C. Burke Order Reinstating License After Suspension & Order for Suspension

May 1, 2014
Enforcement Orders & Actions

Kalny, Megan

162.9 KB .pdf

Case Number #: 78211 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Megan Kalny Order Reinstating License After Suspension

April 28, 2014
Enforcement Orders & Actions

Gant, Robert R.

33.41 KB .pdf

Case Number #: 82568 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Robert R. Gant Order for Suspension

April 21, 2014
Enforcement Orders & Actions

Woods, Thomas

199.81 KB .pdf

Case Number #: 82047 Non-compliance Case: No Entity: Producer Matter: In the Matter of Thomas Woods Order of Probationary License

April 14, 2014
Enforcement Orders & Actions

Salgado, Jose

172.19 KB .pdf

Case Number #: 76187 Non-compliance Case: No Entity: Producer Matter: In the Matter of Jose Salgado Order & Consent to Order

April 11, 2014
Enforcement Orders & Actions

Scharingson, Jeffery B.

155 KB .pdf

Case Number #: 82816 Non-compliance Case: No Entity: Investment Adviser Representative, Producer Matter: In the Matter of Jeffery B. Scharingson Order & Consent to Order

April 3, 2014
Enforcement Orders & Actions

McClean, Deanna R.

165.6 KB .pdf

Case Number #: 82371 Non-compliance Case: No Entity: Producer, Securities Agent Matter: In the Matter of Deanna R. McClean Order & Consent to Order

April 2, 2014
Enforcement Orders & Actions

Fisher, John F.

35.73 KB .pdf

Case Number #: 82407 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of John R. Fisher Order for Suspension

March 31, 2014
Enforcement Orders & Actions

Spenny, Samantha L.

108.28 KB .pdf

Case Number #: 82041 Non-compliance Case: No Entity: Producer Matter: In the Matter of Samantha L. Spenny Order & Consent to Order

March 24, 2014