Displaying 826 - 840 of 1095 results.
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
Enforcement Orders & Actions

New York Life Insurance Company

2.56 MB .pdf

Case Number #: 81680 Non-compliance Case: No Entity: Insurance Company Matter: In the Matter of New York Life Insurance Company, New York Life Insurance and Annuity Corporation, and NYLife Insurance Company of Arizona Regulatory Settlement Agreement

October 29, 2013
Enforcement Orders & Actions

Gilliatt, Lindsay

97.1 KB .pdf

Case Number #: 81327 Non-compliance Case: No Entity: Producer Matter: In the Matter of Lindsay Gilliatt Order & Consent to Order

October 28, 2013
Enforcement Orders & Actions

McKinnon, Justin

30.47 KB .pdf

Case Number #: 80196 Non-compliance Case: No Entity: Producer Matter: In the Matter of Justin McKinnon Default Order

October 25, 2013
Enforcement Orders & Actions

Hjelmland, Bjorn

148.36 KB .pdf

Case Number #: 76675 Non-compliance Case: No Entity: Producer Matter: In the Matter of Bjorn Hjelmland Proposed Decision

October 23, 2013
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