Displaying 781 - 795 of 1095 results.
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
Enforcement Orders & Actions

Jerrick, Rober

123.93 KB .pdf

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

March 21, 2014
Enforcement Orders & Actions

Mahoney, Keith

86.08 KB .pdf

Case Number #: 82552 Non-compliance Case: No Entity: Producer Matter: In the Matter of Keith Mahoney Order & Consent to Order

March 20, 2014
Enforcement Orders & Actions

Pontow, Thomas

156.05 KB .pdf

Case Number #: 82638 Non-compliance Case: No Entity: Producer Matter: In the Matter of Thomas Pontow Order & Consent to Order

March 14, 2014
Enforcement Orders & Actions

Continental Casualty Company

156.22 KB .pdf

Case Number #: 82348 Non-compliance Case: No Entity: Insurance Company Matter: In the Matter of Continental Casualty Company Order & Consent to Order

March 10, 2014
Enforcement Orders & Actions

Ciha, Daniel W.

410 KB .pdf

Case Number #: 82538 Non-compliance Case: No Entity: Preneed Sales Agent, Preneed Seller, Unlicensed Matter: In the Matter of Daniel W. Ciha, Colette Ciha Soults and Gay & Gay, Inc. DBA Gay & Ciha Funeral and Cremation Service Cease & Desist Order and Order of Suspension and Notice of Right of Hearing

March 4, 2014
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