DFR Regulations, Orders, Bulletins and Market Conduct Exams

Typesort ascending Name Effective Date Title
Order Docket No. 17-015-B Sun, 05/07/2017 Glenview Auto Loan ExParte Order to Cease and Desist
Order RESCINDED - Docket No. 16-019-S Thu, 04/04/2019 First Financial Equity Corporation Order and Consent (Rescinded)
Order Docket No. 15-008-I Wed, 08/05/2015 In Re: Alton Willard - Default Judgement and Order
Order Docket No. 10-030-S Wed, 04/28/2010 Wells Fargo Investments Consent Order
Order Docket No. 20-024-S Wed, 06/10/2020 Neurotherapeutics, Embera Stipulation and Consent
Order Docket No. 12-031-I Sun, 02/10/2013 Horace Mann Insurance Stipulation and Consent Order
Order Docket No. 13-040-I Wed, 11/06/2013 In Re: Lorraine Locke - Stipulation and Consent
Order Docket No. 17-015-B Thu, 06/15/2017 Glenview Auto Loan Amended Order to Cease and Desist
Order Docket No. 19-055-S Fri, 12/20/2019 Maryland Cultivation and Processing Stipulation and Consent
Order Docket No. 19-003-S Fri, 03/08/2019 In RE: Flipside Cryto, Active Eight LLC
Order Docket No. 21-007-S Fri, 04/30/2021 Louis Olave Stipulation and Consent Order
Order Docket No. 10-029-S Mon, 04/19/2010 UBS Securities Consent Order
Order Docket No. 20-023-S Tue, 06/16/2020 Overland Storage Stipulation and Consent
Order Docket No. 18-020-S Fri, 05/03/2019 Harris, Weigand, and Global Mining Default Judgement and Order
Order Docket No. 16-025-S Thu, 06/09/2016 Wells Fargo Advisors LLC
Order Docket No. 13-031-I Tue, 10/22/2013 Dairyland Insurance - Stipulation and Consent
Order Docket No. 17-014-B Mon, 07/03/2017 In Re: DOXO, Inc
Order Docket No. 19-004-S Thu, 03/14/2019 In RE: Flipside Cryto, Managed 9 LLC
Order Docket No. 21-005-I Tue, 05/11/2021 Michael Rossette Default Judgement and Order
Order Docket No. 10-028-S Thu, 03/04/2010 Lisa Graves Consent Order
Order Docket No. 12-025-I Tue, 08/28/2012 In Re: Maria Gonzales Stipulation and Consent Order
Order Docket No. 16-026-S Sun, 06/05/2016 Raymond James and Associates - Consent Order
Order Docket No. 13-030-I Wed, 03/05/2014 In Re: Alicia Goodman - Order
Order Docket No. 17-013-B Mon, 05/08/2017 North American Securities Administrators Association
Order Docket No. 19-019-S Wed, 01/08/2020 Liberty Partners Financial Services Stipulation and Consent

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Department of Financial Regulation
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