Skip to main content

DFR Regulations, Orders, Bulletins and Market Conduct Exams

Type Name Effective Date Title
Order Docket No. 20-026-S Mon, 06/08/2020 Patrick Mazza Ex Parte Order to Cease and Desist
Order Docket No. 20-005-S Thu, 04/30/2020 Merrill Lynch Stipulation and Consent
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. 19-069-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. 20-008-S Tue, 02/25/2020 Thornton Investment Management 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
Order Docket No. 19-055-S Fri, 12/20/2019 Maryland Cultivation and Processing Stipulation and Consent
Order Docket No. 19-029-I and 19-029-S Fri, 12/20/2019 Jack Trainham and Retirement And College Financial Services of Vermont Stipulation and Consent
Order Docket No. 19-54-S Mon, 11/25/2019 Sally Jane Boyle Stipulation and Consent
Order Docket No. 19-052-S Thu, 10/31/2019 Essex Securities LLC Stipulation and Consent Order
Order Docket No. 19-045-S Wed, 10/09/2019 Clearwater Investment Trust Order, No Action
Order Docket No. 19-036-S Wed, 10/02/2019 TrustToken, Inc. Stipulation and Consent Order
Order Docket No. 19-035-S Mon, 09/16/2019 LiquidPiston, Inc. Stipulation and Consent Order
Order Docket No. 19-042-S Tue, 09/10/2019 Broad Street Capital Markets LLC - Ex Parte Order to Cease and Desist
Order Docket No. 19-038-S Wed, 09/04/2019 Advanced Science Research Inc Stipulation and Consent Order
Order Docket No. 19-021-S Thu, 08/29/2019 IBN Financial Services, Inc Stipulation And Consent Order
Order Docket No. 19-034-S Fri, 08/23/2019 IN RE: Escondido Village 388 DE Stipulation and Consent Order
Order Docket No. 19-026-S Thu, 08/01/2019 375 North Avenue Stipulation and Consent Order (3)
Order Docket No. 19-025-S Thu, 08/01/2019 375 North Avenue Stipulation and Consent Order (2)
Order Docket No. 19-024-S Thu, 08/01/2019 375 North Avenue Stipulation and Consent Order
Order Docket No. 19-017-S Fri, 07/26/2019 Pantera Digital Asset Fund LP Stipulation and Consent Order
Order Docket No. 19-022-S Wed, 06/05/2019 Gallatin Capital LLC Stipulation and Consent Order