DFR Regulations, Orders, Bulletins and Market Conduct Exams

Typesort descending Name Effective Date Title
Bulletin Banking Bulletin #50 Tue, 01/25/2022 Requirements for MLOs and Employees of Licensees Working from a Remote Location
Order Docket No. 14-004-B Thu, 04/03/2014 In Re: United Capital Business Lending, Inc - Order
Order Docket No. 17-015-B Thu, 06/15/2017 Glenview Auto Loan Amended Order to Cease and Desist
Order Docket No. 20-027-S Fri, 07/10/2020 Order Removing Conditions from in the Matter of John A. Bodnar And International Assets Advisory, LLC International Assets Investment Management, LLC Docket No. 17-011-S, April 28, 2017
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. 17-018-S Mon, 01/06/2020 Winthrop Investment Management Order
Order Docket No. 13-008-I Thu, 04/11/2013 In Re: Ullico Casualty - Order to Cease and Desist
Order Docket No. 21-034-I Fri, 11/05/2021 Benjamin Feick Default Judgment and Order
Order Docket No. 21-026-I Thu, 07/01/2021 Coding And Reimbursement For Audio-Only Telephone Services Required by Act 6 of 2021
Order Docket No. 10-031-S Mon, 04/05/2010 Stifel, Nicolaus and Co Consent Order
Order Docket No. 14-087-I Thu, 03/05/2015 In Re: John Gutschlag - Default Judgement and Order
Order Docket No. 17-014-B Mon, 07/03/2017 In Re: DOXO, Inc
Order Docket No. 20-018-I Thu, 08/06/2020 State Farm Life Insurance Stipulation and Consent
Order Docket No. 19-008-S Fri, 02/22/2019 In Re: FP Capitol, LLC
Order Docket No. 12-011-I Wed, 07/18/2012 In Re: Michael Paul Ippolito Default Judgement and Order
Order RESCINDED - Docket No. 16-019-S Thu, 04/04/2019 First Financial Equity Corporation Order and Consent (Rescinded)
Order Docket No. 19-009-I Mon, 04/01/2019 Lafayette Stipulation and Consent Order
Order Docket No. 21-035-I Fri, 11/05/2021 Paul Haan Default Judgment and Order
Order Docket No. 16-025-S Thu, 06/09/2016 Wells Fargo Advisors LLC
Order Docket No. 19-007-I Thu, 02/07/2019 BCBSVT Risk Based Capital Order
Order Docket No. 21-025-S Mon, 07/26/2021 BlockFI Show Cause Order
Order Docket No. 10-030-S Wed, 04/28/2010 Wells Fargo Investments Consent Order
Order Docket No. 14-040-I Fri, 08/15/2014 In Re: Steve Stokeling - Default Judgement and Order
Order Docket No. 17-013-B Mon, 05/08/2017 North American Securities Administrators Association
Order Docket No. 20-025-B Fri, 08/28/2020 Grander Mortgage Capital Order Refusing to Renew and Terminating Loan Servicer License

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Department of Financial Regulation
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