Administrative Orders and Actions

Post date Matter Order Status
02-06-2014 In the Matter of Jasmine Chastang

Default Order

Final
01-24-2014 In the Matter of James J. Fyfe

Order for Suspension

Final
01-24-2014 AMTRUST FINANCIAL SERVICES, INC., MICHAEL KARFUNKEL, GEORGE KARFUNKEL, BARRY ZYSKIND, and LEAH KARFUNKEL, TRUSTEE OF THE MICHAEL KARFUNKEL 2005 GRANTOR RETAINED ANNUITY TRUST for plan to acquire control of DEVELOPERS SURETY AND INDEMNITY COMPANY, AMTRUST FINANCIAL SERVICES, INC., MICHAEL KARFUNKEL, GEORGE KARFUNKEL, BARRY ZYSKIND, and LEAH KARFUNKEL, TRUSTEE OF THE MICHAEL KARFUNKEL 2005 GRANTOR RETAINED ANNUITY TRUST for plan to acquire control of DEVELOPERS SURETY AND INDEMNITY COMPANY

Findings of Fact, Conclusions of Law, and Order; Public Form A filing

Part 1

Part 2

Final
01-22-2014 In the Matter of Saira O. Ahmed

Order for Suspension

Final
01-22-2014 In the Matter of Michael L. Jones

Order & Consent Order

Final
01-22-2014 In the Matter of Genworth Life Insurance Co., Genworth Life Annuity Insurance Co., and Genworth Life Insurance Co. of NY

Regulatory Settlement Agreement

Final
01-21-2014 In the Matter of Lincoln National Life Insurance Co., Lincoln Life & Annuity Co. of NY and First Penn Pacific Life Insurance Co.

Regulatory Settlement Agreement

Final
01-13-2014 In the Matter of Brian M. White

Order for Suspension

Final
01-08-2014 In the Matter of Cory J. Ernst

Order & Consent to Order

Final
12-30-2013 In the Matter of James Roberts

Order & Consent to Order

Final
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