DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Type Name Effective Date Title
Regulation Reg. 93-02(Rev.) 10/16/2014 Defining Standards and Commissioner’s Authority for Companies Deemed to be in Hazardous Financial Condition
Order Docket No. 13-039-I 10/02/2014 Robert Antonacci
Regulation B-2014-02 10/01/2014 Mortgage Brokers
Order Docket No. 14-039-I 09/09/2014 Jillian E. Wood
Order Docket No. 14-026-I 09/09/2014 Deborah L. Lefaivre
Order Docket No. 14-038-I 09/08/2014 William C. Mount
Order Docket No. 14-060-I 09/03/2014 Bankers Life and Casualty Company
Order Docket No. 13-030-I 08/04/2014 Alicia Marie Goodman a/k/a Lisa Goodman; David Charles Goodman
Order Docket No. 14-036-I 07/29/2014 Order for Summary Suspension of the Insurance License of Christopher R. Corley
Order Docket No. 14-023-S 07/21/2014 Solar/Utility No-Action Securities Exemption
Regulation B-06-1 07/01/2014 Regulation B-06-1: Pertaining to State-Chartered Credit Unions
Regulation B-2014-01 07/01/2014 Record Retention: Financial Institutions, Credit Unions, Independent Trust Companies & Licensees
Order Docket No. 14-028-B 06/11/2014 MH Pillars, Inc d.b.a Payza
Order Docket No. 14-024-S 05/27/2014 Jason Adam Oleet and Middlebury Securities, LLC
Order Docket No. 13-038-B 05/22/2014 Plaza Home Mortgage, Inc.
Order Docket No. 14-022-S 04/21/2014 Solar Communities, Inc. d/b/a SunCommon
Order Docket No. 13-056-I 04/16/2014 Redonda Lawrence Russell
Bulletin Insurance Bulletin # 181 04/15/2014 Student Health Insurance Plans
Order Docket No. 14-004-B 04/03/2014 United Capital Business Lending, Inc.
Order Docket No. 11-008-S 04/02/2014 Robert Cully & Winslow, Evans & Crocker
Order Docket No. 13-030-I 03/07/2014 Suspension of resident insurance producer licenses for David and Alicia (Lisa) Goodman, Mountain Group Financial of Leicester
Order Docket No. 14-016-S 03/05/2014 Deceptive marketing and other violations by Morgan Keegan companies
Order Docket No. 13-046-S 02/24/2014 George Jones Lincoln IV and CCO Investment Services Corp.
Order Docket No. 14-013-S 02/13/2014 Barry F. Cassese, Barry Cassese Portfolio Consulting, Sean E. Romano, and C&R Portfolio Consulting, Inc.
Order Docket No. 13-043-I 01/31/2014 Direct enrollment in VHC modified

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