DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Typesort descending Name Effective Date Title
Order Docket No. 11-023-I 12/10/2012 Hartford Stipulation and Consent Order
Order Docket No. 12-003-S 01/26/2012 Barry F. Cassese and K.C. Ward Financial
Order Docket No. 12-011-I 07/18/2012 Michael Paul Ippolito
Order Docket No. 10-053-I 12/29/2010 Life Insurance Company of the Southwest
Order Docket No. 17-018-S 07/06/2017 Rodney Winthrop Thompson and Winthrop Investment Mgmt. Co.
Order Docket No. 13-011-I 12/17/2014 Prest & Associates, Inc.
Order Docket No. 10-035-I 05/03/2010 James Z. Remington, Jr.
Order Docket No. 12-022-S 02/13/2013 Order Removing Conditions from Ronald Berman and AXIOM Capital Management
Order Docket No. 16-022-S 09/01/2016 EKN Financial Services, Inc.
Order Docket No. 13-018-B 09/16/2013 Zackary Nathan Tierney
Order Docket No. 15-024-I 07/07/2016 Interstate National Dealer Services, Inc.
Order Docket No. 13-001-S 02/08/2013 UVest Financial Services Group, Inc.
Order Docket No. 12-002-I 06/10/2015 Nation Motor Club, LLC d/b/a Nation Safe Drivers
Order Docket No. 12-007-I 04/20/2012 Roland C. Matatics
Order Docket No. 10-100-I 12/16/2010 Unum Life Insurance Company of America
Order Docket No. 17-009-I 07/17/2017 Vicki L. Boser; InsuranceTek, Inc.
Order Docket No. 11-058-I 11/16/2011 Edward L. Austin, III
Order Docket No. 14-002-S 01/21/2014 Thomas Donnelly, Agent and Quasar Distributors, LLC Broker: Brookfield Investments
Order Docket No. 16-023-S 09/01/2016 KBR Capital Markets, LLC
Order Docket No. 13-017-B 09/16/2013 David Leonard Rome
Order Docket No. 16-013-B 06/30/2016 PMAC Lending Services, Inc
Order Docket No. 12-047-I 01/18/2013 Dylan A. Molina
Order Docket No. 10-101-1 12/18/2010 Aetna Life Insurance Company
Order Docket No. 17-014-B 07/18/2017 DOXO, Inc.
Order Docket No. 11-059-I 12/22/2011 Joshua K. Barney

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