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ADMINISTRATIVE PROCEEDING BEFORE THE SECURITIES COMMISSIONER OF SOUTH CAROLINA )
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Document Date: 2014-05-07 11:07:34

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File Size: 225,45 KB

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Company

UVEST Financial Services Group Inc. / BLC Financial Services Inc. / Group Inc. / Series 6 / Bankers Life / Casualty Company / State Entities / /

Country

Puerto Rico / United States / U.S. Virgin Islands / /

Currency

USD / cent / /

Event

Business Partnership / Product Recall / Product Issues / M&A / /

IndustryTerm

investment advisory services / law principles / insurance agents / travel costs / life insurance / multi-state investigation working / /

Organization

NASD / FINRA / Securities Division / /

Person

NOW THEREFORE / /

Position

adviser representatives / broker-dealer / w1registered broker-dealer and investment adviser / ADMINISTRATIVE PROCEEDING BEFORE THE SECURITIES COMMISSIONER / Assistant Deputy Attorney General / investment adviser representative / federal covered investment adviser / investment adviser / Attorney General of the State of South / Securities Commissioner of the State of South / applicable broker-dealer / Attorney General / Securities Commissioner / clearing broker / adviser / /

Product

appointments / /

ProvinceOrState

District of Columbia / South Carolina / Illinois / South / /

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