DFR Regulations, Orders, Bulletins and Market Conduct Exams

Typesort descending Name Effective Date Title
Order Docket No. 10-032-S Tue, 04/27/2010 Goldman Sachs Consent Order
Order Docket No. 18-55-B Thu, 12/27/2018 Upstart Network, Inc.
Order Docket No. 20-033-B Fri, 11/13/2020 Bitstamp LTD Stipulation and Consent Order
Order Docket No. 13-055-I Mon, 12/16/2013 In Re: John Bendel - Stipulation and Consent
Order Docket No. 15-007-B Fri, 05/15/2015 MSA Mortgage, LLC - Settlement Agreement
Order Docket No. 20-005-S Thu, 04/30/2020 Merrill Lynch Stipulation and Consent
Order Docket No. 15-019-I Tue, 06/09/2015 Maine Mutual - Stipulation and Consent
Order Docket No. 17-009-I Sun, 07/02/2017 In Re: InsuranceTek
Order Docket No. 17-018-S Mon, 01/06/2020 Winthrop Investment Management Order
Order Docket No. 21-031-I Mon, 11/22/2021 Kimberly Trevino Default Judgement and Order
Order Docket No. 12-042-I Fri, 01/11/2013 In Re: Robin Louella Hixon Default Judgement and Order
Order Docket No. 10-031-S Mon, 04/05/2010 Stifel, Nicolaus and Co Consent Order
Order Docket No. 18-048-I Mon, 01/14/2019 In Re: State Farm Fire & Casualty Co and State Farm Mutual Auto Insurance Co
Order Docket No. 20-030-I Tue, 11/03/2020 Benjamin Scherer Ex Parte Order Suspending License
Order Docket No. 13-053-I Mon, 12/16/2013 In Re: Dorothy Toro-Clafin - Stipulation and Consent
Order Docket No. 15-004-B Wed, 03/11/2015 PYC Inc - Settlement Agreement
Order Docket No. 20-014-I Tue, 04/28/2020 Zahirah Laila Martinez 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. 17-030-S Wed, 11/08/2017 Bankers Life and Casualty
Order RESCINDED - Docket No. 16-019-S Thu, 04/04/2019 First Financial Equity Corporation Order and Consent (Rescinded)
Order Docket No. 12-041-I Wed, 05/22/2013 Vermont Health Co-op Licensing Decision and Order
Order Docket No. 10-030-S Wed, 04/28/2010 Wells Fargo Investments Consent Order
Order Docket No. 20-034-S Fri, 11/20/2020 Krista Scruggs and Zafa Wines Ex Parte Cease and Desist
Order Docket No. 13-048-I Tue, 11/05/2013 In Re: Jessica Myers - Stipulation and Consent
Order Docket No. 15-024-I Thu, 07/07/2016 In Re: Interstate National Dealer - Stipulation and Consent

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

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