Displaying 811 - 825 of 1071 results.
Enforcement Orders & Actions

Wickham, Eric A.

134.88 KB .pdf

Case Number #: 80632 Non-compliance Case: No Entity: Producer Matter: In the Matter of Eric A. Wickham Order & Consent to Order

October 17, 2013
Enforcement Orders & Actions

Stewart, Jeffrey A.

115.35 KB .pdf

Case Number #: 81432 Non-compliance Case: No Entity: Investment Adviser Representative, Producer Matter: In the Matter of Jeffrey A. Stewart Order & Consent to Order

October 15, 2013
Enforcement Orders & Actions

McGregor, Kristine M.

115.48 KB .pdf

Case Number #: 80569 Non-compliance Case: No Entity: Preneed Seller Matter: In the Matter of Kristine M. McGregor Default Order

October 4, 2013
Enforcement Orders & Actions

Transamerica Life Insurance Company

820.16 KB .pdf

Case Number #: 81869 Non-compliance Case: No Entity: Insurance Company Matter: In the Matter of Transamerica Life Insurance Company Regulatory Settlement Agreement

October 3, 2013
Enforcement Orders & Actions

Crawford, Angela L.

120.43 KB .pdf

Case Number #: 80571 Non-compliance Case: No Entity: Preneed Sales Agent Matter: In the Matter of Angela L. Crawford Order & Consent to Order

September 30, 2013
Enforcement Orders & Actions

Broadspire Services Inc

125.38 KB .pdf

Case Number #: 80602 Non-compliance Case: No Entity: Third Party Administrator Matter: In the Matter of Broadspire Services Inc. Order & Consent to Order

September 24, 2013
Enforcement Orders & Actions

Voyager Financial Group, LLC

86.82 KB .pdf

Case Number #: 80240 Non-compliance Case: No Entity: Unlicensed Matter: In the Matter of Voyager Financial Group, LLC and Andrew Paul Gamber Order and Consent to Order and Agreement

September 20, 2013
Enforcement Orders & Actions

Bauer, Debra J.

54.32 KB .pdf

Case Number #: 80039 Non-compliance Case: No Entity: Producer Matter: In the Matter of Debra J. Bauer Proposed Decision

September 12, 2013
Enforcement Orders & Actions

Long, Chris

51.9 KB .pdf

Case Number #: 80030 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Chris Long Order for Suspension

September 10, 2013
Enforcement Orders & Actions

Hibbing, Timothy W.

74.89 KB .pdf

Case Number #: 76938 Non-compliance Case: No Entity: Producer Matter: In the Matter of Timothy W. Hibbing Order & Consent to Order

September 6, 2013
Enforcement Orders & Actions

Flaherty, Joseph R.

136.08 KB .pdf

Case Number #: 80169 Non-compliance Case: No Entity: Producer Matter: In the Matter of Joseph R. Flaherty Order & Consent to Order

August 30, 2013
Enforcement Orders & Actions

Miller, Todd A.

232.18 KB .pdf

Case Number #: 81223 Non-compliance Case: No Entity: Producer Matter: In the Matter of Todd A. Miller Order of Summary Suspension & Opportunity for Hearing

August 30, 2013
Enforcement Orders & Actions

ING

2.81 MB .pdf

Case Number #: 81254 Non-compliance Case: No Entity: Insurance Company Matter: In the Matter of ING Regulatory Settlement Agreement

August 13, 2013