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DFR Regulations, Orders, Bulletins and Market Conduct Exams

Regulation Bulletins
Type Sort descending Name Effective Date Title
Order Docket No. 20-031-I Wed, 02/24/2021 Order for Revocation of License - Jones
Order Docket No. 20-038-B Sat, 02/27/2021 Wave Financial Stipulation and Consent
Order Docket No. 13-029-S Mon, 09/09/2013 In Re: Alicia Goodman Cease and Desist
Order Docket No. 13-022-S Thu, 10/10/2013 In Re: Surety Services Stipulation and Consent Order
Order Docket No. 10-038-S Wed, 05/05/2010 Van Hamm and Meyers Associates Consent Order
Order Docket No. 10-052-S Wed, 06/09/2010 Buglisi and Rockwell Global Capital Consent Order
Order Docket No. 10-080-S Thu, 09/23/2010 Electronic Notice Filing of Certain Federal Covered Securities with Vermont
Order Docket No. 11-007-S Sun, 02/13/2011 Henry Corrao and EKN Financial Services
Order Docket No. 11-008-S Fri, 03/04/2011 Robert Cully and Winslow, Evans & Crocker
Order Docket No. 11-026-S Tue, 05/31/2011 Michael Williams Stipulation and Consent Order
Order Docket No. 12-003-S Thu, 01/19/2012 Barry Cassese and KC Ward Financial
Order Docket No. 12-022-S Mon, 02/13/2012 Ronald Berman and Axiom Capital Management Order Removing Conditions
Order Docket No. 13-001-S Fri, 03/08/2013 ProEquities Consent Order
Order Docket No. 13-001-S Fri, 02/08/2013 UVEST Financial Services Group Consent Order
Order Docket No. 10-032-S Tue, 04/27/2010 Goldman Sachs Consent Order
Order Docket No. 13-025-S Fri, 09/13/2013 UBS Financial Services - Consent Order
Order Docket No. 14-087-I Thu, 03/05/2015 In Re: John Gutschlag - Default Judgment and Order
Order Docket No. 19-016-I Thu, 10/17/2019 Jason Torres Default Judgment and Order
Order Docket No. 20-20-I Wed, 05/20/2020 Commerce Insurance Stipulation and Consent Order
Order Docket No. 19-061-I Wed, 03/04/2020 Kathryn Rodriguez Default Judgment and Order
Order Docket No. 19-066-I Wed, 03/04/2020 Jaymore Hicks Default Judgment and Order
Order Docket No. 19-63-I Wed, 03/04/2020 Tori Liporace Default Judgment and Order
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