Displaying 766 - 780 of 1071 results.
Enforcement Orders & Actions

Carry, Sarah

128.34 KB .pdf

Case Number #: 82451 Non-compliance Case: No Entity: Producer Matter: In the Matter of Sarah Carry Order & Consent to Order

March 3, 2014
Enforcement Orders & Actions

Thompson, Kelly G.

502.76 KB .pdf

Case Number #: 82151 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Kelly G. Thompson Order for Suspension

February 27, 2014
Enforcement Orders & Actions

Buck III, Dallas

130.2 KB .pdf

Case Number #: 82637 Non-compliance Case: No Entity: Producer Matter: In the Matter of Dallas Buck lll Order & Consent to Order

February 26, 2014
Enforcement Orders & Actions

Knudsen, Derek R.

504.52 KB .pdf

Case Number #: 82072 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Derek R. Knudsen Order for Suspension

February 26, 2014
Enforcement Orders & Actions

Robbins, Crysty

484.72 KB .pdf

Case Number #: 82112 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Crysty Robbins Order for Suspension

February 26, 2014
Enforcement Orders & Actions

Halferty, Melissa L.

34.94 KB .pdf

Case Number #: 82106 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Melissa L. Halferty Order for Suspension

February 25, 2014
Enforcement Orders & Actions

Valenti, Anthony

141.78 KB .pdf

Case Number #: 81849 Non-compliance Case: No Entity: Producer Matter: In the Matter of Anthony Valenti Default Order of Revocation, Cease and Desist and Civil Penalty

February 25, 2014
Enforcement Orders & Actions

Owens, Myron A.

180.45 KB .pdf

Case Number #: 78159 Non-compliance Case: No Entity: Producer Matter: In the Matter of Myron A. Owens Order & Consent to Order

February 24, 2014
Enforcement Orders & Actions

Birgoyne, Liana

122.14 KB .pdf

Case Number #: 82082 Non-compliance Case: No Entity: Producer Matter: In the Matter of Liana Burgoyne Order & Consent to Order

February 21, 2014
Enforcement Orders & Actions

Surber, Ryan C.

483.88 KB .pdf

Case Number #: 81919 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Ryan C. Surber Order for Suspension

February 20, 2014
Enforcement Orders & Actions

Family Life Insurance Company

207.4 KB .pdf

Case Number #: 82269 Non-compliance Case: No Entity: Insurance Company Matter: In the Matter of Family Life Insurance Company Order & Consent to Order

February 19, 2014
Enforcement Orders & Actions

Livezey, Scott M.

497.87 KB .pdf

Case Number #: 81929 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Scott M. Livezey Order for Suspension

February 19, 2014
Enforcement Orders & Actions

Crosser, Kenneth

755.14 KB .pdf

Case Number #: 80240 Non-compliance Case: No Entity: Investment Adviser Representative, Producer, Securities Agent Matter: In the Matter of Kenneth Crosser Order and Consent to Order

February 12, 2014