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OFFICE OF THE COMMISSIONER OF INSURANCE - STATE OF GEORGIA.
Allegations
MY GEORGIA INSURANCE LICENSE WAS SUSPENDED DUE TO FAILURE TO RENEW THE LICENSE IN DECEMBER 1999. AT THE TIME, I WAS NO LONGER ASSOCIATED WITH AN INSURANCE AGENCY AND DID NOT RECEIVE MY RENEWAL NOTICE.
Resolution
Other
Sanctions
Monetary/Fine
Amount
$150.00
Sanction Details
INSURANCE LICENSE WAS SUSPENDED DUE TO NON-RENEWAL.
Broker Comment
MY INSURANCE LICENSE WAS SUSPENDED DUE TO NON-RENEWAL IN 1999. AT THAT TIME, I WAS NO LONGER ENGAGED IN THE SALE OF INSURANCE AND DID NOT RECEIVE MY RENEWAL NOTICE. UPON ASSOCIATION WITH SSI, I REALIZED THAT MY GEORGIA INSURANCE LICENSE HAD BEEN SUSPENDED DUE TO FAILURE TO RENEW. THIS WAS IN NO WAY RELATED TO ANY TYPE OF DISCIPLINARY ACTION.
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IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.
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Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.