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DFR Regulations, Orders, Bulletins and Market Conduct Exams

Type Sort descending Name Effective Date Title
Order Docket No. 15-040-B Mon, 11/09/2015 Prospect Mortgage, LLC - Settlement Agreement and Order
Order Docket No. 16-026-S Sun, 06/05/2016 Raymond James and Associates - Consent Order
Order Docket No. 16-025-S Thu, 06/09/2016 Wells Fargo Advisors LLC
Order Docket No. 17-010-I Thu, 05/18/2017 USAA
Order Docket No. 16-011-S, 16-012-S Tue, 09/13/2016 In Re: Alan Dauphin - Stipulation and Consent
Order Docket No. 16-020-S Thu, 09/01/2016 Aletheia Securities, Inc - Default Judgement and Order
Order Docket No. 16-021-S Thu, 09/01/2016 Obsidian Financial Group, LLC - Default Judgement and Order
Order Docket No. 18-50-S Fri, 11/30/2018 In Re: Hall Labs LLC
Order Docket No. 16-023-S Wed, 09/14/2016 KBR Capital Markets - Default Judgement and Order
Order Docket No. 16-027-S Thu, 08/25/2016 In Re: Gregory Lambesis - Stipulation and Consent
Order Docket No. 16-007-I Mon, 03/07/2016 In Re; Liberty Insurance - Stipulation and Consent
Order Docket No. 18-027-B Wed, 06/13/2018 Internet Escrow Services, Inc.
Order Docket No. 18-044-S Tue, 11/06/2018 In Re: Barker Partnership Fund
Order Docket No. 18-049-S Tue, 11/27/2018 Stock Investment Management Inc.
Order Docket No. 18-004-I Mon, 04/02/2018 In Re: Mario A. Rodas
Order Docket No. 18-012-I Fri, 02/23/2018 In Re: BlueCross BlueShield of Vermont
Order Docket No. 18-014-I Tue, 07/10/2018 In Re: Saul D. Suster
Order Docket No. 18-013-I Fri, 08/31/2018 Ex Parte Order for Summary Suspension Of Christopher Wocell’s Resident Producer and Surplus Lines Licenses
Order Docket No. 18-013-I Wed, 12/05/2018 Order For Revocation of Christopher Wocell’s Resident Producer And Surplus Lines Licenses
Order Docket No. 18-013-I Mon, 02/26/2018 Wocell Stipulation and Consent
Order Docket No. 18-043-S Thu, 11/01/2018 In Re: Toro Jax Holdings, LLC
Order Docket No. 18-039-B Tue, 07/24/2018 FNC Insurance Agency, Inc.
Order Docket No. 18-042-B Thu, 09/13/2018 Order Exempting Certain Loan Solicitation Companies From the Loan Solicitation Licensing Requirement Of 8 VSA Chapter 73
Order Docket No. 19-008-S Fri, 02/22/2019 In Re: FP Capitol, LLC
Order Docket No. 15-026-I Mon, 10/12/2015 Applied Underwriters and SolutionOne Products