Displaying 811 - 825 of 1090 results.
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
Enforcement Orders & Actions

RBC Capital Markets, LLC

535.47 KB .pdf

Case Number #: 80979 Non-compliance Case: No Entity: Broker Dealer Matter: In the Matter of RBC Capital Markets, LLC Administrative Consent Order

December 5, 2013
Enforcement Orders & Actions

Williams, Melissa I.

95.24 KB .pdf

Case Number #: 75939 Non-compliance Case: No Entity: Producer Matter: In the Matter of Melissa I. Williams Default Order

November 25, 2013
Enforcement Orders & Actions

Young, Larry S.

35.93 KB .pdf

Case Number #: 81182 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Larry S. Young Order for Suspension

November 25, 2013
Enforcement Orders & Actions

Petefish, Daniel

99.98 KB .pdf

Case Number #: 79326 Non-compliance Case: No Entity: Producer Matter: In the Matter of Daniel Petefish Default Order

November 21, 2013
Enforcement Orders & Actions

Rooker, Andrew W.

33.44 KB .pdf

Case Number #: 81209 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Andrew W. Rooker Order for Suspension

November 15, 2013
Enforcement Orders & Actions

Schroder, Mark A.

147.97 KB .pdf

Case Number #: 80745 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Mark A. Schroder Order Reinstating License After Suspension; Order for Suspension 

November 13, 2013
Enforcement Orders & Actions

Schoian, John P.

528.6 KB .pdf

Case Number #: 81547 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of John P. Sharoian Order for Suspension

November 12, 2013
Enforcement Orders & Actions

Ege Jr., John L.

131.72 KB .pdf

Case Number #: 81007 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of John L. Ege Jr. Order Reinstating License After Suspension and Suspension Order

November 4, 2013
Enforcement Orders & Actions

Krieg, Katherine A.

116.76 KB .pdf

Case Number #: 80581 Non-compliance Case: No Entity: Preneed Sales Agent Matter: In the Matter of Katherine A. Krieg Proposed Decision

November 4, 2013
Enforcement Orders & Actions

Cross, Jared M.

100.89 KB .pdf

Case Number #: 80570 Non-compliance Case: No Entity: Preneed Sales Agent Matter: In the Matter of Jared M. Cross Default Order

November 1, 2013
Enforcement Orders & Actions

Ouverson, Neil L.

137.68 KB .pdf

Case Number #: 80075 Non-compliance Case: No Entity: Producer Matter: In the Matter of Neil L. Ouverson Order & Consent to Order

October 30, 2013