DFR Regulations, Orders, Bulletins and Market Conduct Exams

Typesort descending Name Effective Date Title
Order Docket No. 17-010-I Thu, 05/18/2017 USAA
Order Docket No. 10-052-S Wed, 06/09/2010 Buglisi and Rockwell Global Capital Consent Order
Order Docket No. 13-033-B Fri, 01/10/2014 Lisa Fendelet - Order
Order Docket No. 21-032-I Thu, 08/26/2021 Trupanion and American Pet Insurance Company Stipulation and Consent
Order Docket No. 15-021-B Tue, 07/07/2015 Sherman, Clay and Co - Stipulation and Consent
Order Docket No. 16-042-I Fri, 12/09/2016 MVP Health Plan Stipulation and Consent
Order Docket No. 12-056-I Mon, 01/30/2012 In Re: William A Newburn Default Judgement and Order
Order Docket No. 17-009-I Sun, 07/02/2017 In Re: InsuranceTek
Order Docket No. 10-038-S Wed, 05/05/2010 Van Hamm and Meyers Associates Consent Order
Order Docket No. 13-026-B Mon, 09/09/2013 In Re: NetSpeed Corporation
Order Docket No. 21-028-I Wed, 09/15/2021 Adam Damrill Default Judgement and Order
Order Docket No. 15-007-B Fri, 05/15/2015 MSA Mortgage, LLC - Settlement Agreement
Order Docket No. 19-050-I Thu, 12/19/2019 Lorie Jean Zylicz Default Judgement and Order
Order Docket No. 19-059-B Thu, 03/05/2020 North American Financial Management Stipulation and Consent
Order Docket No. 12-052-I Tue, 01/22/2013 In Re: Jeffrey Douglas Penta Default Judgement and Order
Order Docket No. 17-030-S Wed, 11/08/2017 Bankers Life and Casualty
Order Docket No. 10-032-S Tue, 04/27/2010 Goldman Sachs Consent Order
Order Docket No. 13-024-B Sat, 08/31/2013 Amerisave Mortgage - Settlement Agreement and Order
Order Docket No. 15-004-B Wed, 03/11/2015 PYC Inc - Settlement Agreement
Order Docket No. 19-029-I and 19-029-S Fri, 12/20/2019 Jack Trainham and Retirement And College Financial Services of Vermont Stipulation and Consent
Order Docket No. 12-049-I Fri, 01/18/2013 In Re: Joan Louise Warner Default Judgement and Order
Order Docket No. 17-022-S Tue, 08/08/2017 In Re: People's Securities, Inc
Order Docket No. 10-031-S Mon, 04/05/2010 Stifel, Nicolaus and Co Consent Order
Order Docket No. 13-021-B Sun, 07/21/2013 Securities Finance Trust Company - Order
Order Docket No. 19-045-S Sat, 10/09/2021 Clearwater Investment Trust Amendment Order

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Department of Financial Regulation
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833-337-4685 (toll free)

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