Displaying 931 - 945 of 1090 results.
Enforcement Orders & Actions

Lloyd, Timothy

49.5 KB .pdf

Case Number #: 77647 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Timothy Lloyd Order for Suspension

October 11, 2012
Enforcement Orders & Actions

Oberly, Linda

49.19 KB .pdf

Case Number #: 77639 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Linda Oberly Order for Suspension

October 11, 2012
Enforcement Orders & Actions

Welte, Douglas E.

115.72 KB .pdf

Case Number #: 78144 Non-compliance Case: No Entity: Producer Matter: In the Matter of Douglas E. Welte Order & Consent to Order

October 8, 2012
Enforcement Orders & Actions

Abel, Mark E.

49.37 KB .pdf

Case Number #: 77531 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Mark E. Abel Order for Suspension

October 1, 2012
Enforcement Orders & Actions

Grillet, Sandy

49.18 KB .pdf

Case Number #: 77536 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Sandy Grillet Order for Suspension

October 1, 2012
Enforcement Orders & Actions

Lacour, Connie

49.33 KB .pdf

Case Number #: 77532 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Connie Lacour Order for Suspension

October 1, 2012
Enforcement Orders & Actions

E*Trade Securities LLC

1.05 MB .pdf

Case Number #: 73961 Non-compliance Case: No Entity: Broker Dealer Matter: In the Matter of E*Trade Securities LLC Administrative Consent Order

September 17, 2012
Enforcement Orders & Actions

Raymond James & Associates, Inc

934.51 KB .pdf

Case Number #: 72282 Non-compliance Case: No Entity: Broker Dealer Matter: In the Matter of RAYMOND JAMES & ASSOCIATES, INC., AND RAYMOND JAMES FINANCIAL SERVICES, INC. Administrative Consent Order

September 17, 2012
Enforcement Orders & Actions

Black, Michael

50.92 KB .pdf

Case Number #: 77402 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Michael Black Order for Suspension

September 7, 2012
Enforcement Orders & Actions

Ryder System, Inc.

119.89 KB .pdf

Case Number #: 77799 Non-compliance Case: No Matter: In the Matter of Ryder System, Inc. Order & Consent to Order

September 4, 2012
Enforcement Orders & Actions

Ellis, James J.

107.76 KB .pdf

Case Number #: 76549 Non-compliance Case: No Entity: Producer Matter: In the Matter of James J. Ellis Proposed Decision

August 22, 2012
Enforcement Orders & Actions

Stammer, Terry

160.24 KB .pdf

Case Number #: 77096 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Terry Stammer Order for Suspension; Order Reinstating License After Suspension

August 22, 2012
Enforcement Orders & Actions

Thomas, Rayna

50.49 KB .pdf

Case Number #: 76613 Non-compliance Case: Yes Entity: Producer Matter: In the Matter of Rayna Thomas Order for Suspension

August 12, 2012
Enforcement Orders & Actions

Berry, Rodney D.

110.57 KB .pdf

Case Number #: 76741 Non-compliance Case: No Entity: Producer Matter: In the Matter of Rodney D. Berry Proposed Decision

August 10, 2012