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DFR Regulations, Orders, Bulletins and Market Conduct Exams

Regulation Bulletins
Type Name Effective Date Title
Order Docket No. 20-007-I Tue, 04/14/2020 Kendra Aleman Default Judgment and Order
Order Docket No. 20-006-I Wed, 03/18/2020 Joany Inc Default Judgment and Order
Order Docket No. 20-017-S Wed, 03/18/2020 Benchmark Company Stipulation and Consent
Order Docket No. 20-016-S Wed, 03/18/2020 Fairholme Stipulation and Consent Order
Order Docket No. 19-043-I Fri, 03/06/2020 Kimberley Zem Stipulation and Consent Order
Order Docket No. 19-069-S Fri, 03/06/2020 Account Management, DeRoetth Stipulation and Consent
Order Docket No. 20-009-S Fri, 03/06/2020 Solium Financial Services LLC Stipulation and Consent
Order Docket No. 19-056-I Thu, 03/05/2020 Robert Lewis Stewart Stipulation and Consent
Order Docket No. 19-059-B Thu, 03/05/2020 North American Financial Management Stipulation and Consent
Order Docket No. 19-061-I Wed, 03/04/2020 Kathryn Rodriguez Default Judgment and Order
Order Docket No. 19-062-I Wed, 03/04/2020 Jessica Hendrickson Default Judgment and Order
Order Docket No. 19-067-I Wed, 03/04/2020 Serena Morris Default Judgment and Order
Order Docket No. 19-065-I Wed, 03/04/2020 Jasmyne Franking Default Order and Judgment
Order Docket No. 19-064-I Wed, 03/04/2020 Deborah Miner Default Judgment and Order
Order Docket No. 20-001-I Wed, 03/04/2020 Abdulrasheed Berte Default Judgment and Order
Order Docket No. 19-63-I Wed, 03/04/2020 Tori Liporace Default Judgment and Order
Order Docket No. 19-066-I Wed, 03/04/2020 Jaymore Hicks Default Judgment and Order
Order Docket No. 19-068-I Wed, 03/04/2020 Rebecca Mrozinski Default Judgment and Order
Order Docket No. 20-008-S Tue, 02/25/2020 Thornton Investment Management Stipulation and Consent
Order Docket No. 19-058-I Tue, 02/11/2020 Osmund Josiah Marcellin Default Judgment and Order
Order Docket No. 19-057-I Mon, 02/10/2020 Lluri Jimenez Default Judgment and Order
Order Docket No. 19-070-B Tue, 01/21/2020 Uphold HQ Stipulation and Consent
Order Docket No. 20-004-I Tue, 01/14/2020 Union Mutual Fire Insurance Company Stipulation and Consent
Order Docket No. 19-019-S Wed, 01/08/2020 Liberty Partners Financial Services Stipulation and Consent
Order Docket No. 17-018-S Mon, 01/06/2020 Winthrop Investment Management Order