DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Typesort ascending Name Effective Date Title
Order Docket No. 04-010-S 06/25/2010 Gary L. Saccaro and Paulson Investment Co., Inc.
Order Docket No. 09-096-I 11/20/2009 Liberty Mutual Ins. Company Order to Show Cause
Order Docket No. 11-002-I 02/07/2011 Aimee J. Bonin
Order Docket No. 17-018-S 07/06/2017 Rodney Winthrop Thompson and Winthrop Investment Mgmt. Co.
Order Docket No. 12-050-B (Amended) 12/21/2012 Amended Order Removing The Directors, Officers and Committee Members of Border Lodge Credit Union
Order Docket No. 16-012-S 09/13/2016 Alan F. Dauphin
Order Docket No. 16-022-S 09/01/2016 EKN Financial Services, Inc.
Order Docket No. 14-023-S 07/21/2014 Solar/Utility No-Action Securities Exemption
Order Docket No. 14-036-I 07/29/2014 Order for Summary Suspension of the Insurance License of Christopher R. Corley
Order Docket No. 15-013-I 07/22/2015 Claymonte Arshawn McNeill
Order Docket No. 12-052-I 01/22/2013 Jeffrey Douglas Penta
Order Docket No. 10-031-S 04/22/2010 Stifle, Nicolaus & Company, Inc.
Order Docket No. 11-062-I 12/12/2011 Claude Alan Boucher
Order Docket No. 17-009-I 07/17/2017 Vicki L. Boser; InsuranceTek, Inc.
Order Docket No. 12-027-B 07/09/2012 IH Financial Licenses, Inc. and ITC Financial Licenses, Inc.
Order Docket No. 16-011-I 09/13/2016 Alan F. Dauphin
Order Docket No. 16-023-S 09/01/2016 KBR Capital Markets, LLC
Order Docket No. 14-060-I 09/03/2014 Bankers Life and Casualty Company
Order Docket No. 11-021-B 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. 12-043-I 01/02/2013 Mark Patrick Santos
Order Docket No. 10-002-S 01/15/2010 Lincoln Financial Securities Corporation
Order Docket No. 09-094-1 02/10/2010 2Morrow Studio/Build, Inc.
Order Docket No. 11-103-I 03/23/2012 Sean Deandre Dade
Order Docket No. 13-025-S 09/20/2013 UBS Financial Services
Order Docket No. 17-014-B 07/18/2017 DOXO, Inc.

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