DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Type Namesort descending Effective Date Title
Order Docket No. 13-011-I Tue, 11/25/2014 CIGNA Behavioral Health, Inc.
Order Docket No. 13-016-S Thu, 12/05/2013 Settlement Against RBC Capital Markets
Order Docket No. 13-017-B Mon, 09/16/2013 David Leonard Rome
Order Docket No. 13-018-B Mon, 09/16/2013 Zackary Nathan Tierney
Order Docket No. 13-020-B Mon, 09/16/2013 Brandon Thomas Maddick
Order Docket No. 13-021-B Mon, 07/29/2013 Securities Finance Trust Company
Order Docket No. 13-022-S Thu, 11/07/2013 Surety Services LLC of Delaware
Order Docket No. 13-024-B Wed, 07/31/2013 Amerisave Mortgage Corporation
Order Docket No. 13-025-S Fri, 09/20/2013 UBS Financial Services
Order Docket No. 13-026-B Mon, 09/09/2013 NetSpend Corporation
Order Docket No. 13-028-S Sat, 08/17/2013 NRG Residential Solar Systems LLC
Order Docket No. 13-029-S Thu, 09/26/2013 Cease and Desist Order for David and Alicia (Lisa) Goodman, Mountain Group Financial of Leicester
Order Docket No. 13-030-I Fri, 03/07/2014 Suspension of resident insurance producer licenses for David and Alicia (Lisa) Goodman, Mountain Group Financial of Leicester
Order Docket No. 13-031-I Tue, 10/22/2013 Dairyland Insurance Co. of Wisconsin
Order Docket No. 13-032-I Fri, 11/01/2013 MVP Health Plan, Inc. and MVP Health Ins. Co.
Order Docket No. 13-033-B Fri, 01/10/2014 Lisa Marie Fendelet
Order Docket No. 13-038-B Thu, 05/22/2014 Plaza Home Mortgage, Inc.
Order Docket No. 13-043-I Fri, 01/31/2014 Direct enrollment in VHC modified
Order Docket No. 13-043-I Thu, 11/07/2013 Order to smooth transition to VHC
Order Docket No. 13-046-S Mon, 02/24/2014 George Jones Lincoln IV and CCO Investment Services Corp.
Order Docket No. 13-046-S Wed, 12/11/2013 Settlement against CCO Investment Corp
Order Docket No. 13-047-S Fri, 11/15/2013 State Farm Mutual Funds
Order Docket No. 13-058-B Thu, 12/19/2013 Ocwen Financial Corp. and Ocwen Loan Servicing, LLC.
Order Docket No. 14-001-S Fri, 01/17/2014 Robert Jamo, Agent and Quasar Distributors, LLC Broker: Brookfield Investments
Order Docket No. 14-002-S Tue, 01/21/2014 Thomas Donnelly, Agent and Quasar Distributors, LLC Broker: Brookfield Investments

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