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DFR Regulations, Orders, Bulletins and Market Conduct Exams

Type Sort descending Name Effective Date Title
Order Docket No. 19-061-I Wed, 03/04/2020 Kathryn Rodriguez Default Judgement and Order
Order Docket No. 19-069-S Fri, 03/06/2020 Account Management, DeRoetth Stipulation and Consent
Order Docket No. 12-031-I Sun, 02/10/2013 Horace Mann Insurance Stipulation and Consent Order
Order Docket No. 20-20-I Wed, 05/20/2020 Commerce Insurance Stipulation and Consent Order
Order Docket No. 20-014-I Tue, 04/28/2020 Zahirah Laila Martinez Default Judgment and Order
Order Docket No. 20-005-S Thu, 04/30/2020 Merrill Lynch Stipulation and Consent
Order Docket No. 20-016-S Wed, 03/18/2020 Fairholme Stipulation and Consent Order
Order Docket No. 20-007-I Tue, 04/14/2020 Kendra Aleman Default Judgement and Order
Order Docket No. 19-059-B Thu, 03/05/2020 North American Financial Management Stipulation and Consent
Order Docket No. 20-017-S Wed, 03/18/2020 Benchmark Company Stipulation and Consent
Order Docket No. 20-006-I Wed, 03/18/2020 Joany Inc Default Judgement and Order
Order Docket No. 19-062-I Wed, 03/04/2020 Jessica Hendrickson Default Judgement and Order
Order Docket No. 19-068-I Wed, 03/04/2020 Rebecca Mrozinski Default Judgement and Order
Order Docket No. 11-026-S Tue, 05/31/2011 Michael Williams Stipulation and Consent Order
Order Docket No. 19-043-I Fri, 03/06/2020 Kimberley Zem Stipulation and Consent Order
Order Docket No. 19-056-I Thu, 03/05/2020 Robert Lewis Stewart Stipulation and Consent
Order Docket No. 20-009-S Fri, 03/06/2020 Solium Financial Services LLC Stipulation and Consent
Order Docket No. 19-006-B Wed, 05/22/2019 In Re: Poloniex LLC Stipulation and Consent Order
Order Docket No. 10-031-S Mon, 04/05/2010 Stifel, Nicolaus and Co Consent Order
Order Docket No. 10-032-S Tue, 04/27/2010 Goldman Sachs Consent Order
Order Docket No. 10-038-S Wed, 05/05/2010 Van Hamm and Meyers Associates Consent Order
Order Docket No. 10-052-S Wed, 06/09/2010 Buglisi and Rockwell Global Capital Consent Order
Order Docket No. 10-080-S Thu, 09/23/2010 Electronic Notice Filing of Certain Federal Covered Securities with Vermont
Order Docket No. 11-007-S Sun, 02/13/2011 Henry Corrao and EKN Financial Services
Order Docket No. 11-008-S Fri, 03/04/2011 Robert Cully and Winslow, Evans & Crocker