Administrative Orders and Actions

Post date Matter Order Status
12-30-2013 In the Matter of Tom Richardson

Order & Consent Order

Final
12-24-2013 In the Matter of Vincent Jiles

Order for Suspension

Final
12-23-2013 In the Matter of Todd A. Miller

Default Order of Revocation, Cease & Desist and Civil Penalty

Final
12-18-2013 In the Matter of Samantha Huynh

Proposed Decision

Final
12-11-2013 In the Matter of Kunta L. Brown

Order for Suspension

Final
12-10-2013 In the Matter of UBS Financial Services, Inc.

Consent Order and Order to Cease and Desist

Final
12-05-2013 In the Matter of RBC Capital Markets, LLC

Administrative Consent Order

Final
11-25-2013 In the Matter of Larry S. Young

Order for Suspension

Final
11-25-2013 In the Matter of Melissa I. Williams

Default Order

Final
11-21-2013 In the Matter of Daniel Petefish

Default Order

Final
11-15-2013 In the Matter of Andrew W. Rooker

Order for Suspension

Final
11-13-2013 In the Matter of Mark A. Schroder

Order Reinstating License After Suspension

Final
11-12-2013 In the Matter of John P. Sharoian

Order for Suspension

Final
11-04-2013 In the Matter of John L. Ege Jr.

Order Reinstating License After Suspension and Suspension Order

Final
11-04-2013 In the Matter of Katherine A. Krieg

Proposed Decision

Final
11-01-2013 In the Matter of James M. Cross

Default Order

Final
10-30-2013 In the Matter of Neil L. Ouverson

Order & Consent to Order

Final
10-29-2013 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

Final
10-28-2013 In the Matter of Lindsay Gilliatt

Order & Consent to Order

Final
10-25-2013 In the Matter of Justin McKinnon

Default Order

Final
10-23-2013 In the Matter of Midland National Life Insurance Company and North American For Life and Health Insurance

Regulatory Settlement Agreement

Final
10-22-2013 In the Matter of Bjorn Hjelmland

Proposed Decision

Final
10-17-2013 In the Matter of Eric A. Wickham

Order & Consent to Order

Final
10-15-2013 In the Matter of Jeffrey A. Stewart

Order & Consent to Order

Final
10-04-2013 In the Matter of Kristine M. McGregor

Default Order

Final
10-03-2013 In the Matter of Transamerica Life Insurance Company

Regulatory Settlement Agreement

Final
10-03-2013 In the Matter of Aviva Life & Annuity Company and Aviva Life & Annuity Company of New York

Regulatory Settlement Agreement

Final
09-30-2013 In re the application of AVIVA LIFE AND ANNUITY COMPANY for Approval of a Coinsurance and Assumption Agreement with PRESIDENTIAL LIFE INSURANCE COMPANY-USA

Findings of Fact, Conclusions of Law and Order

Final
09-30-2013 In the Matter of Angela L. Crawford

Order & Consent to Order

Final
09-27-2013 In the matter of application of COMMONWEALTH ANNUITY AND LIFE INSURANCE COMPANY and THE GOLDMAN SACHS GROUP, INC. for a plan to acquire control of PRESIDENTIAL LIFE INSURANCE COMPANY-USA

Findings of Fact, Conclusions of Law, and Order

Final
09-27-2013 Acquisition of STRUCTURED ANNUITY REINSURANCE COMPANY In the matter of application of APOLLO GLOBAL MANAGEMENT, LLC, LEON BLACK, JOSHUA HARRIS, and MARC ROWAN for approval of a plan to acquire control of AVIVA LIFE AND ANNUITY COMPANY, AVIVA RE IOWA, INC.

Findings of Fact, Conclusions of Law, and Order

Final
09-24-2013 In the Matter of Broadspire Services Inc.

Order & Consent to Order

Final
09-20-2013 In the Matter of Voyager Financial Group, LLC and Andrew Paul Gamber

Order and Consent to Order and Agreement

Final
09-18-2013 In the Matter of the Certificate of Authority of Triad Guaranty Insurance Corporation

Suspension Order

Final
09-12-2013 In the Matter of Debra J. Bauer

Proposed Decision

Final
09-10-2013 In the Matter of Chris Long

Order for Suspension

Final
09-06-2013 In the Matter of Timothy W. Hibbing

Order & Consent to Order

Final
09-03-2013 In the Matter of ING

Regulatory Settlement Agreement

Final
08-30-2013 In the Matter of Joseph R. Flaherty

Order & Consent to Order

Final
08-30-2013 In the Matter of Todd A. Miller

Order of Summary Suspension & Opportunity for Hearing

Pending
08-28-2013 In the Matter of Mark Schroder

Order for Suspension

Final
08-20-2013 IN RE STEVE'S ROOFING, INC.

Order on Remand

Final
08-15-2013 In the matter of application of APOLLO GLOBAL MANAGEMENT, LLC, LEON BLACK, JOSHUA HARRIS, and MARC ROWAN for approval of a plan to acquire control of AVIVA LIFE AND ANNUITY COMPANY, AVIVA RE IOWA, INC., AVIVA RE IOWA II, INC., and AVIVA RE IOWA III, INC.

Findings of Fact, Conclusions of Law, and Order

Final
08-08-2013 In the Matter of Catherine Hankins

Order for Suspension

Final
08-08-2013 in the Matter of Gregorio Garza

Order for Suspension

Final
08-08-2013 In the Matter of Jesse McKinney

Order for Suspension

Final
08-08-2013 In the Matter of Stephen Serati

Order for Suspension; Order Reinstating License After Suspension

Final
08-01-2013 In the Matter of TIAA-CREF

Regulatory Settlement Agreement

Final
07-31-2013 In the Matter of Shannon M. Trucke

Default Order

Final
07-30-2013 In the matter of the application of AMERICAN ENTERPRISE MUTUAL HOLDING COMPANY and LINCOLN MUTUAL LIFE AND CASUALTY INSURANCE COMPANY for approval of an Agreement and Plan of Reorganization

Findings of Fact, Conclusions of Law, and Order

Final