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DFR Regulations, Orders, Bulletins and Market Conduct Exams

Regulation Bulletins
Type Sort ascending Name Effective Date Title
Order Docket No. 20-001-I Wed, 03/04/2020 Abdulrasheed Berte Default Judgment and Order
Order Docket No. 19-064-I Wed, 03/04/2020 Deborah Miner Default Judgment and Order
Order Docket No. 19-065-I Wed, 03/04/2020 Jasmyne Franking Default Order and Judgment
Order Docket No. 19-067-I Wed, 03/04/2020 Serena Morris Default Judgment and Order
Order Docket No. 20-019-I Thu, 05/28/2020 Homesite Insurance Company Stipulation and Consent
Order Docket No. 20-015-I Tue, 06/09/2020 Teon Sumpter Default Judgment and Order
Order Docket No. 19-070-B Tue, 01/21/2020 Uphold HQ Stipulation and Consent
Order Docket No. 16-042-I Fri, 12/09/2016 MVP Health Plan Stipulation and Consent
Order Docket No. 19-050-I Thu, 12/19/2019 Lorie Jean Zylicz Default Judgment and Order
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. 17-018-S Mon, 01/06/2020 Winthrop Investment Management Order
Order RESCINDED - Docket No. 16-019-S Thu, 04/04/2019 First Financial Equity Corporation Order and Consent (Rescinded)
Order Docket No. 19-055-S Fri, 12/20/2019 Maryland Cultivation and Processing Stipulation and Consent
Order Docket No. 19-019-S Wed, 01/08/2020 Liberty Partners Financial Services Stipulation and Consent
Order Docket No. 20-004-I Tue, 01/14/2020 Union Mutual Fire Insurance Company Stipulation and Consent
Order Docket No. 15-028-I Fri, 10/30/2015 Mark Bean Stipulation and Consent
Order Docket No. 19-051-I Mon, 12/16/2019 Anthony John Panza Stipulation and Consent
Order Docket No. 19-057-I Mon, 02/10/2020 Lluri Jimenez Default Judgment and Order
Order Docket No. 19-058-I Tue, 02/11/2020 Osmund Josiah Marcellin Default Judgment and Order
Order Docket No. 19-54-S Mon, 11/25/2019 Sally Jane Boyle Stipulation and Consent
Order Docket No. 20-008-S Tue, 02/25/2020 Thornton Investment Management 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. 19-043-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