DFR Regulations, Orders, Bulletins and Market Conduct Exams

Type Namesort descending Effective Date Title
Order Docket No. 19-036-S Wed, 10/02/2019 TrustToken, Inc. Stipulation and Consent Order
Order Docket No. 19-037-I Wed, 07/31/2019 Small Association Leadership Alliance, et al Ex Parte Order To Cease And Desist
Order Docket No. 19-038-S Wed, 09/04/2019 Advanced Science Research Inc Stipulation and Consent Order
Order Docket No. 19-039-I Mon, 08/12/2019 Danjack Enterprises Stipulation and Consent Order
Order Docket No. 19-040-I Thu, 11/21/2019 Companion Life Insurance Company Stipulation and Consent
Order Docket No. 19-042-S Tue, 09/10/2019 Broad Street Capital Markets LLC - Ex Parte Order to Cease and Desist
Order Docket No. 19-043-I Fri, 03/06/2020 Kimberley Zem Stipulation and Consent Order
Order Docket No. 19-044-I Mon, 10/07/2019 Permanent General Assurance Corporation Stipulation and Consent
Order Docket No. 19-045-S Wed, 10/09/2019 Clearwater Investment Trust Order, No Action
Order Docket No. 19-046-I Tue, 11/26/2019 John Hancock Life Insurance Company Stipulation and Consent
Order Docket No. 19-049-I Wed, 11/20/2019 Louis Chames, Trupanion Managers USA, Inc., and American Pet Insurance Company
Order Docket No. 19-050-I Thu, 12/19/2019 Lorie Jean Zylicz Default Judgement and Order
Order Docket No. 19-051-I Mon, 12/16/2019 Anthony John Panza Stipulation and Consent
Order Docket No. 19-052-S Thu, 10/31/2019 Essex Securities LLC Stipulation and Consent Order
Order Docket No. 19-055-S Fri, 12/20/2019 Maryland Cultivation and Processing Stipulation and Consent
Order Docket No. 19-056-I Thu, 03/05/2020 Robert Lewis Stewart Stipulation and Consent
Order Docket No. 19-057-I Mon, 02/10/2020 Lluri Jimenez Default Judgement and Order
Order Docket No. 19-058-I Tue, 02/11/2020 Osmund Josiah Marcellin Default Judgement and Order
Order Docket No. 19-059-B Thu, 03/05/2020 North American Financial Management Stipulation and Consent
Order Docket No. 19-061-I Wed, 03/04/2020 Kathryn Rodriguez Default Judgement and Order
Order Docket No. 19-062-I Wed, 03/04/2020 Jessica Hendrickson Default Judgement and Order
Order Docket No. 19-064-I Wed, 03/04/2020 Deborah Miner Default Judgement and Order
Order Docket No. 19-065-I Wed, 03/04/2020 Jasmyne Franking Default Order and Judgement
Order Docket No. 19-066-I Wed, 03/04/2020 Jaymore Hicks Default Judgement and Order
Order Docket No. 19-067-I Wed, 03/04/2020 Serena Morris Default Judgement and Order

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833-337-4685 (toll free)

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