DFR Regulations, Orders, Bulletins and Market Conduct Exams

Typesort ascending Name Effective Date Title
Order Docket No. 16-008-I Wed, 01/06/2016 Phenix Mutual Fire Insurance - Stipulation and Consent
Order Docket No. 19-070-B Tue, 01/21/2020 Uphold HQ Stipulation and Consent
Order Docket No. 18-029-S Thu, 07/26/2018 In Re: DA Davidson
Order Docket No. 20-024-S Wed, 06/10/2020 Neurotherapeutics, Embera Stipulation and Consent
Order Docket No. 19-024-S Thu, 08/01/2019 375 North Avenue Stipulation and Consent Order
Order Docket No. 18-020-S Fri, 05/03/2019 Harris, Weigand, and Global Mining Default Judgement and Order
Order Docket No. 18-052-I Mon, 05/13/2019 In Re: Kerry Manders Default Judgement and Order
Order Docket No. 13-030-I Wed, 03/05/2014 In Re: Alicia Goodman - Order
Order Docket No. 14-088-B Mon, 12/22/2014 Debra Kinney - Order
Order Docket No. 16-007-I Mon, 03/07/2016 In Re; Liberty Insurance - Stipulation and Consent
Order Docket No. 21-007-S Fri, 04/30/2021 Louis Olave Stipulation and Consent Order
Order Docket No. 18-015-S Thu, 06/07/2018 In Re: Jacinto “Spirit Wolf” Vega, Jr.
Order Docket No. 20-023-S Tue, 06/16/2020 Overland Storage Stipulation and Consent
Order Docket No. 19-025-S Thu, 08/01/2019 375 North Avenue Stipulation and Consent Order (2)
Order Docket No. 12-025-I Tue, 08/28/2012 In Re: Maria Gonzales Stipulation and Consent Order
Order Docket No. 18-035-I Mon, 05/13/2019 In Re: Ramona Hall Default Judgement and Order
Order Docket No. 13-011-I Wed, 12/17/2014 In Re: Prest and Associates - Stipulation and Consent
Order Docket No. 14-028-B Thu, 06/12/2014 In Re: MH Pillars, Inc - Stipulation and Consent
Order Docket No. 16-027-S Thu, 08/25/2016 In Re: Gregory Lambesis - Stipulation and Consent
Order Docket No. 21-005-I Tue, 05/11/2021 Michael Rossette Default Judgement and Order
Order Docket No. 18-011-S Wed, 02/21/2018 In Re: Merrill Lynch
Order Docket No. 19-026-S Thu, 08/01/2019 375 North Avenue Stipulation and Consent Order (3)
Order Docket No. 12-023-I Wed, 02/13/2013 Bankers Life Stipulation and Consent Order
Order Docket No. 12-014-I Tue, 05/22/2012 In Re: National Council on Compensation Insurance Order Adopting Report of Examination
Order Docket No. 19-012-S Fri, 05/31/2019 In Re: Future Income Payments Final Order to Cease and Desist

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Department of Financial Regulation
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