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DFR Regulations, Orders, Bulletins and Market Conduct Exams

Regulation Bulletins
Type Sort ascending Name Effective Date Title
Order Docket No. 13-048-I Tue, 11/05/2013 In Re: Jessica Myers - Stipulation and Consent
Order Docket No. 13-043-I Sun, 11/03/2013 In Re: Vermont Health Connect - Order
Order Docket No. 13-040-I Wed, 11/06/2013 In Re: Lorraine Locke - Stipulation and Consent
Order Docket No. 14-004-B Thu, 04/03/2014 In Re: United Capital Business Lending, Inc - Order
Order Docket No. 16-022-S Tue, 09/06/2016 EKN Financial Services, Inc - Default Judgment and Order
Order Docket No. 16-020-S Thu, 09/01/2016 Aletheia Securities, Inc - Default Judgment and Order
Order Docket No. 16-011-S, 16-012-S Tue, 09/13/2016 In Re: Alan Dauphin - Stipulation and Consent
Order Docket No. 16-001-S Wed, 06/01/2016 Repealing In Part Order 06-023-S
Order Docket No. 16-025-S Thu, 06/09/2016 Wells Fargo Advisors LLC
Order Docket No. 16-026-S Sun, 06/05/2016 Raymond James and Associates - Consent Order
Order Docket No. 15-040-B Mon, 11/09/2015 Prospect Mortgage, LLC - Settlement Agreement and Order
Order Docket No. 15-033-B Fri, 11/06/2015 Ocwen Loan Servicing, LLC - Consent Agreement
Order Docket No. 15-021-B Tue, 07/07/2015 Sherman, Clay and Co - Stipulation and Consent
Order Docket No. 15-007-B Fri, 05/15/2015 MSA Mortgage, LLC - Settlement Agreement
Order Docket No. 15-004-B Wed, 03/11/2015 PYC Inc - Settlement Agreement
Order Docket No. 15-024-I Thu, 07/07/2016 In Re: Interstate National Dealer - Stipulation and Consent
Order Docket No. 15-022-I Wed, 03/09/2016 In Re: Travelers - Stipulation and Consent
Order Docket No. 18-50-S Fri, 11/30/2018 In Re: Hall Labs LLC
Order Docket No. 14-028-B Thu, 06/12/2014 In Re: MH Pillars, Inc - Stipulation and Consent
Order Docket No. 14-088-B Mon, 12/22/2014 Debra Kinney - Order
Order Docket No. 19-004-S Thu, 03/14/2019 In RE: Flipside Cryto, Managed 9 LLC
Order Docket No. 19-003-S Fri, 03/08/2019 In RE: Flipside Cryto, Active Eight LLC
Order Docket No. 15-008-I Wed, 08/05/2015 In Re: Alton Willard - Default Judgment and Order
Order Docket No. 15-018-I Mon, 06/15/2015 State Farm Fire and Casualty - Stipulation and Consent
Order Docket No. 15-013-I Sun, 07/12/2015 In Re: Claymonte Arshawn McNeill - Default Judgment and Order