Enforcement Orders & Actions

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Case Number #: 72768 Non-compliance Case: No Entity: Producer Matter: In the Matter of Roger Jerrick Order & Consent to Order