DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Typesort descending Name Effective Date Title
Order Docket No. 13-053-I 12/16/2013 Dorothy Torro-Claflin
Order Docket No. 12-037-S 11/12/2012 DFR adopts NASAA exemption for investment advisers to private funds
Order Docket No. 13-058-B 12/19/2013 Ocwen Financial Corp. and Ocwen Loan Servicing, LLC.
Order Docket No. 16-026-S 06/29/2016 Raymond James and Associates, Inc.
Order Yapstone Holdings, Inc. and YapStone, Inc. 12/18/2017 Docket No. 17-023-B
Order Docket No. 10-096-I 10/14/2010 Liberty Mutual Group
Order Docket No. 16-042-I 12/21/2016 MVP Health Plan, Inc. and MVP Health Insurance Company
Order Docket No. 12-025-I 08/28/2012 Maria G. Gonzalez
Order Docket No. 09-131-H 06/01/2010 Blue Cross and Blue Shield of Vermont-supplemental order
Order Docket No. 12-022-S 01/17/2013 Ronald Berman and AXIOM Capital Management Inc.
Order Docket No. 13-004-I 04/19/2013 Triad Guaranty Insurance Corporation
Order Docket No. 13-024-B 07/31/2013 Amerisave Mortgage Corporation
Order Docket No. 16-025-S 06/28/2016 Wells Fargo Advisors LLC
Order Docket No. 14-064-I 08/27/2015 Progressive Insurance Companies
Order Docket No. 12-005-I 04/20/2012 Roy Allen Gray
Order Docket No. 17-008-S 04/03/2017 Stanley Fishkin: Crow Hill Capital, Ltd.; Crow Hill Ventures, Ltd.
Order Docket No. 12-042-I 01/11/2013 Robin Louella Hixon
Order Docket No. 09-183-H 05/25/2010 Anthem Blue Cross & Blue Shield
Order Docket No. 12-022-S 02/13/2013 Order Removing Conditions from Ronald Berman and AXIOM Capital Management
Order Docket No. 13-008-I 04/11/2013 Ullico Casualty Company
Order Docket No. 11-023-I 12/10/2012 Hartford Stipulation and Consent Order
Order Docket No. 13-021-B 07/29/2013 Securities Finance Trust Company
Order Docket No. 16-017-I 06/27/2016 Ryan Moore
Order Docket No. 12-003-S 01/26/2012 Barry F. Cassese and K.C. Ward Financial
Order Docket No. 18-001-B 01/03/2018 PHH Mortgage Corporation

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