Enforcement Actions  
 
By Date | 2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 |
By Case Name | A | B | C | D | E | F | G | H | I | J | K | L | M | N | O | P | Q | R | S | T | U | V | W | X | Y | Z |
   
Search:
Vallee, Marcia 
  Notice of Service on the Administrator and Affidavit of Compliance; and Notice of Opportunity for Hearing w/Enforcement Division Recommendation    Filed: 8/24/2005
  Order to Cease and Desist    Filed: 10/26/2005
Vanhooser, Jess and Sauer, Kenneth 
  Agreement, and Permanent Order to Cease and Desist    Filed: 9/30/2003
Vernon Group, LLC (The) [CRD 129496] and Vernon, Ronald David [CRD 4729523] 
  Notice of Service on the Administrator and Affidavit of Compliance; Enforcement Division Recommendation; Notice of Opportunity for Hearing on Enforcement Division Recommendation; Summary Order...    Filed: 1/26/2012
  Notice of Service on the Administrator and Affidavit of Compliance; Final Order    Filed: 2/21/2012
Viatical Capital, Inc. and Premiere Investment Capital, Inc. dba Life Settlement Network 
  Notice of Service on the Administrator and Affidavit of Compliance; Notice of Opportunity for Hearing with attached Enforcement Division Recommendation    Filed: 7/30/2003
  Order to Cease and Desist [Viatical Capital, Inc. and Premiere Investment Capital, Inc. dba The Life Settlement Network]    Filed: 9/12/2003
Page 1 of 1