DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Typesort ascending Name Effective Date Title
Order Docket No. 10-002-S Fri, 01/15/2010 Lincoln Financial Securities Corporation
Order Docket No. 13-011-I Tue, 11/25/2014 CIGNA Behavioral Health, Inc.
Order Docket No. 16-007-I Mon, 03/07/2016 Liberty Insurance Corp & Safeco Insurance Company of America
Order Docket No. 13-047-S Fri, 11/15/2013 State Farm Mutual Funds
Order Docket No. 15-019-I Tue, 06/30/2015 Maine Mutual Group Insurance Company
Order Docket No. 11-081-I Thu, 11/17/2011 Todd W. Mugford
Order Docket No. 10-043-B Thu, 07/15/2010 QuoteMatch, LLC.
Order Docket No. 10-003-S Fri, 01/15/2010 Burton J. Steen
Order Docket No. 14-089-S Mon, 12/01/2014 UBS Financial Services Inc.
Order Docket No. 16-006-I Mon, 03/07/2016 Liberty Mututal Insurance Co et. al.
Order Docket No. 13-016-S Thu, 12/05/2013 Settlement Against RBC Capital Markets
Order Docket No 15-018-I Mon, 06/29/2015 State Farm Fire and Casualty Company
Order Docket No. 11-007-S Wed, 07/18/2012 In the matter of: Henry Corrao and EKN Financial Services
Order Docket No. 11-082-I Fri, 03/23/2012 Corbett A. Nielsen
Order Docket No. 10-042-B Thu, 07/15/2010 1st Citizen Mortgage, LLC. d/b/a Champlain Valley Mortgage
Order Docket No. 10-028-S Thu, 03/11/2010 Lisa M. Graves
Order Docket No. 14-092-S Wed, 12/03/2014 Oristano Capital, LLC
Order Docket No. 13-046-S Wed, 12/11/2013 Settlement against CCO Investment Corp
Order Docket No. 11-083-I Tue, 11/29/2011 Frederick J. O'Brien
Order Docket No. 10-041-B Thu, 07/15/2010 6:10 Services d/b/a Debt Free America
Order Docket No. 10-029-S Tue, 04/27/2010 UBS Securities, LLC and UBS Financial Services, Inc.
Order Docket No. 14-013-S Thu, 02/13/2014 Barry F. Cassese, Barry Cassese Portfolio Consulting, Sean E. Romano, and C&R Portfolio Consulting, Inc.
Order Docket No. 16-010-B Mon, 05/23/2016 Prosper Marketplace, Inc and Prosper Funding, LLC
Order Docket No. 12-022-S Thu, 01/17/2013 Ronald Berman and AXIOM Capital Management Inc.
Order Docket No 15-015-I Thu, 07/02/2015 Bluestone Life Insurance Company

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