DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Typesort descending Name Effective Date Title
Order Docket No. 14-001-S 01/17/2014 Robert Jamo, Agent and Quasar Distributors, LLC Broker: Brookfield Investments
Order Docket No. 16-021-S 09/01/2016 Obsidian Financial Group, LLC
Order Docket No. 13-053-I 12/16/2013 Dorothy Torro-Claflin
Order Docket No. 13-001-S 02/28/2013 Bankers Life and Casualty Company and BLC Financial Services, Inc.
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 Docket No. 10-102-H 11/22/2010 Regence Bluecross Blueshield of Utah
Order Docket No. 14-064-I 08/27/2015 Progressive Insurance Companies
Order Docket No. 17-016-I 08/01/2017 Liberty Mutual Companies
Order Docket No. 12-005-I 04/20/2012 Roy Allen Gray
Order Docket No. 16-035-I 11/02/2016 Brittany Ouellette
Order Docket No. 13-004-I 04/19/2013 Triad Guaranty Insurance Corporation
Order Docket No. 13-002-I 03/14/2013 Order Establishing Tier Rate Structure and Multipliers
Order Docket No. 13-024-B 07/31/2013 Amerisave Mortgage Corporation
Order Docket No. 12-012-B 05/11/2012 Transition Period For Financial Advisors To Obtain a Mortgage Loan Originator License
Order Docket No. 16-025-S 06/28/2016 Wells Fargo Advisors LLC
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. 11-008-S 04/02/2014 Robert Cully & Winslow, Evans & Crocker
Order Docket No. 17-022-S 08/10/2017 People’s Securities, Inc.
Order Docket No. 10-040-I 07/03/2010 Peter R. Becker
Order Docket No. 12-042-I 01/11/2013 Robin Louella Hixon
Order Docket No. 13-043-I 01/31/2014 Direct enrollment in VHC modified
Order Docket No. 13-008-I 04/11/2013 Ullico Casualty Company
Order Docket No. 13-020-B 09/16/2013 Brandon Thomas Maddick

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