DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Type Namesort descending Effective Date Title
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 Mon, 08/04/2014 Alicia Marie Goodman a/k/a Lisa Goodman; David Charles Goodman
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 Thu, 10/31/2013 MVP Health Plan, Inc. and MVP Health Insurance Company
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. 13-040-I Thu, 11/07/2013 Lorraine L. Locke
Order Docket No. 13-041-I Mon, 11/18/2013 Travis C. Shine
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 Wed, 12/11/2013 Settlement against CCO Investment Corp
Order Docket No. 13-046-S Mon, 02/24/2014 George Jones Lincoln IV and CCO Investment Services Corp.
Order Docket No. 13-047-S Fri, 11/15/2013 State Farm Mutual Funds
Order Docket No. 13-048-I Tue, 11/19/2013 Jessica J. Myers
Order Docket No. 13-053-I Mon, 12/16/2013 Dorothy Torro-Claflin
Order Docket No. 13-055-I Mon, 12/16/2013 John J. Brendel, Jr.

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