DFR Regulations, Orders, Bulletins and Market Conduct Exams

Typesort descending Name Effective Date Title
Order Docket No. 16-023-S Wed, 09/14/2016 KBR Capital Markets - Default Judgement and Order
Order Docket No. 18-054-I Tue, 10/15/2019 Matthew F Gains Default Judgement and Order
Order Docket No. 19-045-S Sat, 10/09/2021 Clearwater Investment Trust Amendment Order
Order Docket No. 17-032-B Mon, 02/06/2017 In Re: Transferwise
Order Docket No. 13-022-S Thu, 10/10/2013 In Re: Surety Services Stipulation and Consent Order
Order Docket No. 20-029-S Wed, 10/14/2020 William J. Therieau Cease and Desist
Order Docket No. 13-047-S Fri, 11/15/2013 State Farm Mutual Funds - Electronic Filings
Order Docket No. 21-034-I Fri, 11/05/2021 Benjamin Feick Default Judgment and Order
Order Docket No. 19-062-I Wed, 03/04/2020 Jessica Hendrickson Default Judgement and Order
Order Docket No. 14-024-S Tue, 05/27/2014 Jason Oleet and Middlebury Securities, LLC - Order
Order Docket No. 16-022-S Tue, 09/06/2016 EKN Financial Services, Inc - Default Judgement and Order
Order Docket No. 19-052-S Thu, 10/31/2019 Essex Securities LLC Stipulation and Consent Order
Order Docket No. 21-037-B Wed, 10/20/2021 Fairway Independent Mortgage Corporation Stipulation and Consent Order
Order Docket No. 17-031-B Thu, 03/15/2018 In Re: Mercari, Inc
Order Docket No. 13-001-S Fri, 02/08/2013 UVEST Financial Services Group Consent Order
Order Docket No. 20-007-I Tue, 04/14/2020 Kendra Aleman Default Judgement and Order
Order Docket No. 21-035-I Fri, 11/05/2021 Paul Haan Default Judgment and Order
Order Docket No. 12-050-B Thu, 12/06/2012 In Re: Border Lodge Credit Union - Amended Order
Order Docket No. 14-022-S Mon, 04/07/2014 Registration Exemption for SolarCommunities, Inc - Order
Order Docket No. 16-021-S Thu, 09/01/2016 Obsidian Financial Group, LLC - Default Judgement and Order
Order Docket No. 19-049-I Wed, 11/20/2019 Louis Chames, Trupanion Managers USA, Inc., and American Pet Insurance Company
Order Docket No. 21-033-I Fri, 11/05/2021 Kristina Chamis Default Judgement and Order
Order Docket No. 17-023-B Mon, 12/18/2017 In Re: Yapstone Holdings, Inc
Order Docket No. 13-001-S Fri, 03/08/2013 ProEquities Consent Order
Order Docket No. 20-016-S Wed, 03/18/2020 Fairholme Stipulation and Consent Order

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Department of Financial Regulation
Consumer Services 
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833-337-4685 (toll free)

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