Displaying 916 - 930 of 1095 results.
Enforcement Orders & Actions

Riley, Carla

49.22 KB .pdf

Case Number #: 77958 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Carla Riley Order for Suspension

November 20, 2012
Enforcement Orders & Actions

Bankers Life & Casualty Company

326.78 KB .pdf

Case Number #: 77064 Non-compliance Case: No Entity: Insurance Company Matter: In the Matter of Bankers Life & Casualty Company Regulatory Settlement Agreement

November 16, 2012
Enforcement Orders & Actions

Peppard, Justin

53.53 KB .pdf

Case Number #: 77735 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Justin Peppard Order for Suspension

November 16, 2012
Enforcement Orders & Actions

ProEquities, Inc

416.7 KB .pdf

Case Number #: 77065 Non-compliance Case: No Entity: Broker Dealer Matter: In the Matter of ProEquities, Inc. Administrative Consent Order

November 16, 2012
Enforcement Orders & Actions

Rowell, David

56.84 KB .pdf

Case Number #: 78186 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of David Rowell Order for Suspension

November 13, 2012
Enforcement Orders & Actions

Sessions, Christopher

67.26 KB .pdf

Case Number #: 78212 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Christopher Sessions Order for Suspension

November 13, 2012
Enforcement Orders & Actions

Hancock, John

1.43 MB .pdf

Case Number #: 78590 Non-compliance Case: No Entity: Insurance Company Matter: In the Matter of John Hancock Regulatory Settlement Agreement

November 9, 2012
Enforcement Orders & Actions

Lickiss, Stephen

58.47 KB .pdf

Case Number #: 77483 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Stephen Lickiss Order for Suspension

November 9, 2012
Enforcement Orders & Actions

Madsen, Aaron

57.5 KB .pdf

Case Number #: 78095 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Aaron Madsen Order for Suspension

November 9, 2012
Enforcement Orders & Actions

Bankers Life and Casualty Company

726.38 KB .pdf

Case Number #: 77064 Non-compliance Case: No Entity: Unlicensed Matter: In the Matter of BANKERS LIFE AND CASUALTY COMPANY and BLC FINANCIAL SERVICES, INC. Administrative Consent Order

November 6, 2012
Enforcement Orders & Actions

Fitzgibbon, Joseph

160.9 KB .pdf

Case Number #: 77656 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Joseph Fitzgibbon Order for Suspension; Order Reinstating License After Suspension

October 26, 2012
Enforcement Orders & Actions

Kapp, Charles

49.9 KB .pdf

Case Number #: 77724 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Charles Kapp Order for Suspension

October 24, 2012
Enforcement Orders & Actions

AGC Life Insurance Company

564.83 KB .pdf

Case Number #: 78365 Non-compliance Case: No Entity: Insurance Company Matter: In the Matter of American International Group, Inc. Regulatory Settlement Agreement

October 22, 2012
Enforcement Orders & Actions

Nationwide Financial Services, Inc

1.63 MB .pdf

Case Number #: 78284 Non-compliance Case: No Entity: Insurance Company Matter: In the Matter of Nationwide Financial Services, Inc., Nationwide Life Insurance Company, Nationwide Life and Annuity Insurance Company, Nationwide Life Insurance Company of America and Nationwide Life and Annuity Insurance Company of America Regulatory Settlement Agreement

October 15, 2012