DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Typesort descending Name Effective Date Title
Order Docket No. 16-021-S Thu, 09/01/2016 Obsidian Financial Group, LLC
Order Docket No. 13-025-S Fri, 09/20/2013 UBS Financial Services
Order Docket No. 05-059-S Thu, 11/17/2005 Axiom Capital Management
Order Docket No. 14-064-I Thu, 08/27/2015 Progressive Insurance Companies
Order Docket No. 12-005-I Fri, 04/20/2012 Roy Allen Gray
Order Docket No. 13-004-I Fri, 04/19/2013 Triad Guaranty Insurance Corporation
Order Docket No. 10-028-S Thu, 03/11/2010 Lisa M. Graves
Order Docket No. 13-021-B Mon, 07/29/2013 Securities Finance Trust Company
Order Docket No. 16-025-S Tue, 06/28/2016 Wells Fargo Advisors LLC
Order Docket No. 16-035-I Wed, 11/02/2016 Brittany Ouellette
Order Docket No. 13-028-S Sat, 08/17/2013 NRG Residential Solar Systems LLC
Order Docket No. 11-008-S Wed, 04/02/2014 Robert Cully & Winslow, Evans & Crocker
Order Docket No. 12-042-I Fri, 01/11/2013 Robin Louella Hixon
Order Docket No. 11-033-I Thu, 06/30/2011 Union Mutual Fire Insurance Company
Order Docket No. 13-008-I Thu, 04/11/2013 Ullico Casualty Company
Order Docket No. 10-029-S Tue, 04/27/2010 UBS Securities, LLC and UBS Financial Services, Inc.
Order Docket No. 13-020-B Mon, 09/16/2013 Brandon Thomas Maddick
Order Docket No. 16-017-I Mon, 06/27/2016 Ryan Moore
Order Docket No. 12-002-I Thu, 09/26/2013 Nation Safe Drivers of Florida
Order Docket No. 12-055-I Wed, 01/30/2013 Charmaine Holtz
Order Docket No. 13-055-I Mon, 12/16/2013 John J. Brendel, Jr.
Order Docket No. 10-080-S Thu, 09/23/2010 Electronic Notice Filing of Certain Federal Covered Securities with the State of Vermont
Order Docket No. 13-018-B Mon, 09/16/2013 Zackary Nathan Tierney
Order Docket No. 16-019-B Thu, 06/30/2016 Benaissance, LLC F/K/A Coco Development, LLC
Order Docket No. 12-002-I Wed, 06/10/2015 Nation Motor Club, LLC d/b/a Nation Safe Drivers

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