Displaying 781 - 795 of 1071 results.
Enforcement Orders & Actions

Chastang, Jasmine

131.41 KB .pdf

Case Number #: 81328 Non-compliance Case: No Entity: Producer Matter: In the Matter of Jasmine Chastang Default Order

February 6, 2014
Enforcement Orders & Actions

Fyfe, James J.

33.58 KB .pdf

Case Number #: 81866 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of James J. Fyfe Order for Suspension

January 24, 2014
Enforcement Orders & Actions

Ahmed, Saira O.

36.73 KB .pdf

Case Number #: 81816 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Saira O. Ahmed Order for Suspension

January 22, 2014
Enforcement Orders & Actions

Genworth Life Insurance Company

790.96 KB .pdf

Case Number #: 82349 Non-compliance Case: No Entity: Insurance Company Matter: In the Matter of Genworth Life Insurance Co., Genworth Life Annuity Insurance Co., and Genworth Life Insurance Co. of NY Regulatory Settlement Agreement

January 22, 2014
Enforcement Orders & Actions

Jones, Michael L.

109.96 KB .pdf

Case Number #: 81930 Non-compliance Case: No Entity: Producer Matter: In the Matter of Michael L. Jones Order & Consent Order

January 22, 2014
Enforcement Orders & Actions

Lincoln National Life Insurance Company

6.46 MB .pdf

Case Number #: 82023 Non-compliance Case: No Entity: Insurance Company Matter: In the Matter of Lincoln National Life Insurance Co., Lincoln Life & Annuity Co. of NY and First Penn Pacific Life Insurance Co. Regulatory Settlement Agreement

January 21, 2014
Enforcement Orders & Actions

White, Brian M.

33.81 KB .pdf

Case Number #: 81767 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Brian M. White Order for Suspension

January 13, 2014
Enforcement Orders & Actions

Ernst, Cory J.

174.95 KB .pdf

Case Number #: 82230 Non-compliance Case: No Matter: In the Matter of Cory J. Ernst Order & Consent to Order

January 8, 2014
Enforcement Orders & Actions

Richardson, Tom

134.96 KB .pdf

Case Number #: 80333 Non-compliance Case: No Entity: Producer Matter: In the Matter of Tom Richardson Order & Consent Order

December 30, 2013
Enforcement Orders & Actions

Jiles, Vincent

32.85 KB .pdf

Case Number #: 81298 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Vincent Jiles Order for Suspension

December 24, 2013
Enforcement Orders & Actions

Miller, Todd A.

168.28 KB .pdf

Case Number #: 81223 Non-compliance Case: No Entity: Producer Matter: In the Matter of Todd A. Miller Default Order of Revocation, Cease & Desist and Civil Penalty

December 23, 2013
Enforcement Orders & Actions

Roberts, James

183.39 KB .pdf

Case Number #: 78986 Non-compliance Case: No Entity: Investment Adviser Representative, Producer, Securities Agent Matter: In the Matter of James Roberts Order & Consent to Order

December 23, 2013
Enforcement Orders & Actions

Huynh, Samantha

99.27 KB .pdf

Case Number #: 78229 Non-compliance Case: No Entity: Producer Matter: In the Matter of Samantha Huynh Proposed Decision

December 18, 2013
Enforcement Orders & Actions

Brown, Kunta L.

34.02 KB .pdf

Case Number #: 81358 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Kunta L. Brown Order for Suspension

December 11, 2013
Enforcement Orders & Actions

UBS Financial Services, Inc

498.52 KB .pdf

Case Number #: 81914 Non-compliance Case: No Entity: Broker Dealer Matter: In the Matter of UBS Financial Services, Inc. Consent Order and Order to Cease and Desist

December 10, 2013