DFR Regulations, Orders, Bulletins and Market Conduct Exams

Typesort ascending Name Effective Date Title
Order Docket No. 18-011-S Wed, 02/21/2018 In Re: Merrill Lynch
Order Docket No. 20-007-I Tue, 04/14/2020 Kendra Aleman Default Judgement and Order
Order Docket No. 17-018-S Mon, 01/06/2020 Winthrop Investment Management Order
Order Docket No. 13-003-I Wed, 05/01/2013 In Re: Connecticut General Life Insurance Stipulation and Consent
Order Docket No. 10-031-S Mon, 04/05/2010 Stifel, Nicolaus and Co Consent Order
Order Docket No. 16-023-S Wed, 09/14/2016 KBR Capital Markets - Default Judgement and Order
Order Docket No. 13-038-B Thu, 05/22/2014 Plaza Home Mortgage
Order Docket No. 17-032-B Mon, 02/06/2017 In Re: Transferwise
Order Docket No. 20-016-S Wed, 03/18/2020 Fairholme Stipulation and Consent Order
Order RESCINDED - Docket No. 16-019-S Thu, 04/04/2019 First Financial Equity Corporation Order and Consent (Rescinded)
Order Docket No. 13-002-I Wed, 03/13/2013 In Re: Vermont Health Benefit Exchange - Rate Structure and Multipliers
Order Docket No. 10-030-S Wed, 04/28/2010 Wells Fargo Investments Consent Order
Order Docket No. 16-022-S Tue, 09/06/2016 EKN Financial Services, Inc - Default Judgement and Order
Order Docket No. 13-033-B Fri, 01/10/2014 Lisa Fendelet - Order
Order Docket No. 20-033-B Fri, 11/13/2020 Bitstamp LTD Stipulation and Consent Order
Order Docket No. 17-031-B Thu, 03/15/2018 In Re: Mercari, Inc
Order Docket No. 19-055-S Fri, 12/20/2019 Maryland Cultivation and Processing 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. 10-029-S Mon, 04/19/2010 UBS Securities Consent Order
Order Docket No. 16-021-S Thu, 09/01/2016 Obsidian Financial Group, LLC - Default Judgement and Order
Order Docket No. 13-026-B Mon, 09/09/2013 In Re: NetSpeed Corporation
Order Docket No. 20-030-I Tue, 11/03/2020 Benjamin Scherer Ex Parte Order Suspending License
Order Docket No. 17-023-B Mon, 12/18/2017 In Re: Yapstone Holdings, Inc
Order Docket No. 20-005-S Thu, 04/30/2020 Merrill Lynch Stipulation and Consent
Order Docket No. 12-052-I Tue, 01/22/2013 In Re: Jeffrey Douglas Penta Default Judgement and Order

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Department of Financial Regulation
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