Enforcement Orders & Actions

Case Number #: 66957 Non-compliance Case: No Entity: Investment Adviser Representative, Producer Matter: In the Matter of Covenant Benefits, Inc. a/k/a Covenant Advisors and Noah James Aulwes a/k/a Tom Lee Aulwes a/k/a Thomas Lee Aulwes Order and Consent to Order and Agreement 

Non-compliance Case: No Entity: Insurance Company Matter: In the Matter of Conseco Life Insurance Company, et al. Regulatory Settlement Agreement

Case Number #: 67013 Non-compliance Case: No Entity: Preneed Sales Agent Matter: In the Matter of Jill White Consent Order and Dismissal Order

Case Number #: 50976 Non-compliance Case: No Entity: Producer Matter: Waters Jason R. Order and Consent to Order

Case Number #: 58862 Non-compliance Case: No Entity: Producer Matter: In the Matter of Joyce B. Thomas Order & Consent to Order

Non-compliance Case: No Entity: Unlicensed Matter: Extraordinary Films aka Extraordinary Media Group Ltd; Perioxide Pictures LLC; Van Slee Andrew   San Diego CA Beverly Hills CA Chula Vista CA Allegation: Selling unregistered securities Resolution: Order: Cease and desist the offer or sale of unregistered securities Date of Order/Settlement: 2004-04-27