DFR Regulations, Orders, Bulletins & Market Conduct Exams

Results can be sorted by clicking on a column title.
Typesort ascending Name Effective Date Title
Order Docket No: 13-003-I Tue, 05/28/2013 CIGNA (Connecticut General Life Insurance Co.) is ordered to pay a $7,500 penalty
Order Docket No. 10-031-S Thu, 04/22/2010 Stifle, Nicolaus & Company, Inc.
Order Docket No. 10-002-S Fri, 01/15/2010 Lincoln Financial Securities Corporation
Order Docket No. 10-003-S Fri, 01/15/2010 Burton J. Steen
Order Docket No. 11-021-B Fri, 05/06/2011 Order Regarding Effective Date of Sponsorship Requirement for Individual Mortgage Loan Originators that are Employees of Loan Servicing Companies
Order Docket No. 10-028-S Thu, 03/11/2010 Lisa M. Graves
Order Docket No. 14-022-S Mon, 04/21/2014 Solar Communities, Inc. d/b/a SunCommon
Order Docket No. 10-029-S Tue, 04/27/2010 UBS Securities, LLC and UBS Financial Services, Inc.
Order Docket No. 14-024-S Tue, 05/27/2014 Jason Adam Oleet and Middlebury Securities, LLC
Order Docket No. 13-025-S Fri, 09/20/2013 UBS Financial Services
Order Docket No. 13-028-S Sat, 08/17/2013 NRG Residential Solar Systems LLC
Order Docket No. 11-033-I Thu, 06/30/2011 Union Mutual Fire Insurance Company
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. 12-002-I Thu, 09/26/2013 Nation Safe Drivers of Florida
Order Docket No. 14-023-S Mon, 07/21/2014 Solar/Utility No-Action Securities Exemption
Order Docket No. 12-023-I Fri, 07/20/2012 Bankers Life and Casualty Company
Order Docket No. 10-0098-H Mon, 10/04/2010 MVP Health Insurance
Order Docket No. 14-036-I Tue, 07/29/2014 Order for Summary Suspension of the Insurance License of Christopher R. Corley
Order Docket No. 13-032-I Fri, 11/01/2013 MVP Health Plan, Inc. and MVP Health Ins. Co.
Order Docket No. 10-020-H Thu, 10/07/2010 Reliance Standard Life Insurance Company
Order Docket No. 14-060-I Wed, 09/03/2014 Bankers Life and Casualty Company
Order Docket No. 13-031-I Tue, 10/22/2013 Dairyland Insurance Co. of Wisconsin
Order Docket No. 10-059-H Fri, 10/29/2010 Aetna Insurance Company
Order Docket No. 13-001-S Fri, 03/08/2013 ProEquities, Inc.
Order Docket No. 14-038-I Mon, 09/08/2014 William C. Mount

Pages