DFR Regulations, Orders, Bulletins and Market Conduct Exams

Typesort descending Name Effective Date Title
Order Docket No. 20-038-B Sat, 02/27/2021 Wave Financial Stipulation and Consent
Order Docket No. 18-015-S Thu, 06/07/2018 In Re: Jacinto “Spirit Wolf” Vega, Jr.
Order Docket No. 13-018-B Mon, 09/16/2013 Zachary Tierney - Order
Order Docket No. 19-025-S Thu, 08/01/2019 375 North Avenue Stipulation and Consent Order (2)
Order Docket No. 19-065-I Wed, 03/04/2020 Jasmyne Franking Default Order and Judgement
Order Docket No. 18-052-I Mon, 05/13/2019 In Re: Kerry Manders Default Judgement and Order
Order Docket No. 21-027-B Fri, 01/07/2022 Ashley Ferrone Stipulation and Consent Order
Order Docket No. 16-027-S Thu, 08/25/2016 In Re: Gregory Lambesis - Stipulation and Consent
Order Docket No. 12-045-I Wed, 01/02/2013 In Re: Michael Phillip O'Keefe Default Judgement and Order
Order Docket No. 20-029-S Tue, 03/16/2021 Therieau Financial Services Final Order
Order Docket No. 18-011-S Wed, 02/21/2018 In Re: Merrill Lynch
Order Docket No. 13-017-B Sat, 09/14/2013 David Rome - Order
Order Docket No. 19-026-S Thu, 08/01/2019 375 North Avenue Stipulation and Consent Order (3)
Order Docket No. 19-067-I Wed, 03/04/2020 Serena Morris Default Judgement and Order
Order Docket No. 18-035-I Mon, 05/13/2019 In Re: Ramona Hall Default Judgement and Order
Order Docket No. 21-053-S Fri, 01/07/2022 Carinthia Ex Parte Order to Cease and Desist
Order Docket No. 16-023-S Wed, 09/14/2016 KBR Capital Markets - Default Judgement and Order
Order Docket No. 12-044-I Fri, 01/18/2013 In Re: Tasheanna Barnes Default Judgement and Order
Order Docket No. 19-057-I Mon, 02/10/2020 Lluri Jimenez Default Judgement and Order
Order Docket No. 20-041-I Thu, 03/18/2021 Wurtz Stipulation and Consent Order
Order Docket No. 17-032-B Mon, 02/06/2017 In Re: Transferwise
Order Docket No. 13-010-B Mon, 05/13/2013 Shelter Mortgage Company - Stipulation and Consent
Order Docket No. 19-042-S Tue, 09/10/2019 Broad Street Capital Markets LLC - Ex Parte Order to Cease and Desist
Order Docket No. 15-022-I Wed, 03/09/2016 In Re: Travelers - Stipulation and Consent
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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833-337-4685 (toll free)

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