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DFR Regulations, Orders, Bulletins and Market Conduct Exams

Regulation Bulletins
Type Name Sort descending Effective Date Title
Order Docket No. 16-022-S Tue, 09/06/2016 EKN Financial Services, Inc - Default Judgment and Order
Order Docket No. 16-023-S Wed, 09/14/2016 KBR Capital Markets - Default Judgment and Order
Order Docket No. 16-024-I Tue, 06/28/2016 In Re: Stop Loss Attachment Points
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. 16-027-S Thu, 08/25/2016 In Re: Gregory Lambesis - Stipulation and Consent
Order Docket No. 16-029-I Wed, 09/07/2016 In Re: Brendan Mayworm Stipulation and Consent
Order Docket No. 16-035-I Wed, 11/09/2016 In Re: Brittany Ouellette, Default Judgment and Order
Order Docket No. 16-036-I Mon, 06/26/2017 In Re: Deborah LeFaivre - Default Judgment and Order
Order Docket No. 16-036-I Tue, 09/13/2016 In Re: Deborah LeFaivre - Exparte Order for Summary Suspension
Order Docket No. 16-038-S Tue, 04/26/2016 LPL Financial Consent Order
Order Docket No. 16-041-I Wed, 04/12/2017 Geico
Order Docket No. 16-042-I Fri, 12/09/2016 MVP Health Plan Stipulation and Consent
Order Docket No. 17-001-I Thu, 02/09/2017 YourPeople, Inc
Order Docket No. 17-008-S Tue, 04/04/2017 Fishkin and Crow Hill Capital
Order Docket No. 17-009-I Sun, 07/02/2017 In Re: InsuranceTek
Order Docket No. 17-010-I Fri, 05/18/2018 USAA
Order Docket No. 17-013-B Mon, 05/08/2017 North American Securities Administrators Association
Order Docket No. 17-014-B Mon, 07/03/2017 In Re: DOXO, Inc
Order Docket No. 17-015-B Thu, 06/15/2017 Glenview Auto Loan Amended Order to Cease and Desist
Order Docket No. 17-015-B Sun, 05/07/2017 Glenview Auto Loan ExParte Order to Cease and Desist
Order Docket No. 17-016-I Tue, 08/01/2017 In Re: Liberty Mutual
Order Docket No. 17-017-B Thu, 06/15/2017 State Regulatory Registry LLC and NMLS
Order Docket No. 17-018-S Sun, 07/02/2017 In Re: Rodney Winthrop Thompson
Order Docket No. 17-018-S Mon, 01/06/2020 Winthrop Investment Management Order