Displaying 91 - 105 of 1095 results.
Insurance
Enforcement Orders & Actions

Hermalinda Gomez

2.33 MB .pdf

Case Number #: 117415 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Hermalinda Gomez Order and Consent to Order

September 25, 2023
Securities
Enforcement Orders & Actions

Spartan Capital Securities, LLC

2.06 MB .pdf

Case Number #: 117258 Non-compliance Case: N/A Entity: Broker Dealer, Investment Advisor Matter: In the Matter of Spartan Capital Securities, LLC Order and Consent to Order

September 25, 2023
Insurance
Enforcement Orders & Actions

Blaine J. Hamlett

1.32 MB .pdf

Case Number #: 115703 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Blaine J. Hamlett Default Order, Findings of Fact, Conclusions of Law and Order

September 7, 2023
Insurance
Enforcement Orders & Actions

Ashley A. Butler

3.72 MB .pdf

Case Number #: 112141 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Ashley A. Butler Default Order, Findings of Fact, Conclusions of Law and Order

August 22, 2023
Insurance
Enforcement Orders & Actions

Christopher C. Riley

2.51 MB .pdf

Case Number #: 113573 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Christopher C. Riley Default Order, Findings of Fact, Conclusions of Law and Order

August 8, 2023
Insurance
Enforcement Orders & Actions

Anna Kline

2.3 MB .pdf

Case Number #: 115706 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Anna Kline a/k/a Jordana Rae Weber Default Order, Findings of Fact, Conclusions of Law and Order

August 3, 2023
Insurance
Enforcement Orders & Actions

Doreen R. Townsend

1.3 MB .pdf

Case Number #: 117427 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Doreen R. Townsend Order and Consent to Order & Order to Correct July 5, 2023 Order

July 28, 2023
Securities
Enforcement Orders & Actions

Robinhood Financial LLC

3.41 MB .pdf

Case Number #: 117355 Non-compliance Case: N/A Entity: Broker Dealer Matter: In the Matter of Robinhood Financial LLC Consent Order

July 27, 2023
Insurance
Enforcement Orders & Actions

Tina M. Thiam

1.52 MB .pdf

Case Number #: 112827 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Tina M. Thiam Order and Consent to Order

July 18, 2023
Insurance
Enforcement Orders & Actions

Nathan W. Treibel

426 KB .pdf

Case Number #: 104961 Non-compliance Case: N/A Entity: Producer Matter: Order for Reinstatement After License Suspension Order for Reinstatement After License Suspension

June 20, 2023
Insurance
Enforcement Orders & Actions

Katina Parrish

2.41 MB .pdf

Case Number #: 110432 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Katina Parrish Order Denying License Reissuance After Suspension

May 9, 2023
Insurance
Enforcement Orders & Actions

Mardy Gould

1.36 MB .pdf

Case Number #: 114671 Non-compliance Case: N/A Entity: Producer Matter: In the Matter of Mardy Gould Default Order, Findings of Fact, Conclusions of Law and Order

May 3, 2023
Securities
Enforcement Orders & Actions

Nexo Capital Inc.

906.3 KB .pdf

Case Number #: 116030 Non-compliance Case: N/A Entity: Unlicensed Matter: In the Matter of Nexo Capital Inc. Consent Order

April 11, 2023