Agent fined for missed continuing education credits and lapsed liability insurance

Regulator says those capable of working are expected to complete requisite training.

LIFE INSURANCE | May 15 2024 04:30PM
Inactive agent with an active license fined for not maintaining liability insurance

Continuing education requirements also remain in place for those who maintain a license.

P&C | April 25 2024 01:44PM
Supervisors fined when licensee leaves client uninsured for months

Regulator says agents failed to place the client’s interests ahead of their own.

P&C | April 25 2024 10:46AM
Agent who defrauded retired couple banned from securities registration

Assessed costs in the amount of $30,000 after repeatedly delaying investigation and hearing.

INVESTMENT | April 19 2024 10:51AM
Agency fined $20,000 for repeatedly allowing unlicensed activity

Investigation uncovers 67 transactions completed since 2012 by unlicensed agents.

P&C | April 15 2024 04:37PM
Missing continuing education, lapsed liability insurance nets $4,000 fine

Representative investigated after leaving annual licensing declaration blank.

LIFE INSURANCE | April 10 2024 04:10PM
Agent’s license suspended for failing to respond to audit

Insurance council’s annual declaration audit correspondence ignored.

LIFE INSURANCE | April 05 2024 02:55PM