DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Type Namesort descending Effective Date Title
Order Docket No. 13-001-S 03/08/2013 ProEquities, Inc.
Order Docket No. 13-002-I 03/14/2013 Order Establishing Tier Rate Structure and Multipliers
Order Docket No. 13-003-I 05/28/2013 CIGNA (Connecticut General Life Insurance Co.) is ordered to pay a $7,500 penalty
Order Docket No. 13-004-I 04/19/2013 Triad Guaranty Insurance Corporation
Order Docket No. 13-006-I 05/01/2013 Connecticut General Life Insurance Company
Order Docket No. 13-008-I 04/11/2013 Ullico Casualty Company
Order Docket No. 13-010-B 05/13/2013 Shelter Mortgage Company, LLC.
Order Docket No. 13-011-I 12/17/2014 Prest & Associates, Inc.
Order Docket No. 13-011-I 11/25/2014 CIGNA Behavioral Health, Inc.
Order Docket No. 13-016-S 12/05/2013 Settlement Against RBC Capital Markets
Order Docket No. 13-017-B 09/16/2013 David Leonard Rome
Order Docket No. 13-018-B 09/16/2013 Zackary Nathan Tierney
Order Docket No. 13-020-B 09/16/2013 Brandon Thomas Maddick
Order Docket No. 13-021-B 07/29/2013 Securities Finance Trust Company
Order Docket No. 13-022-S 11/07/2013 Surety Services LLC of Delaware
Order Docket No. 13-024-B 07/31/2013 Amerisave Mortgage Corporation
Order Docket No. 13-025-S 09/20/2013 UBS Financial Services
Order Docket No. 13-026-B 09/09/2013 NetSpend Corporation
Order Docket No. 13-028-S 08/17/2013 NRG Residential Solar Systems LLC
Order Docket No. 13-029-S 09/26/2013 Cease and Desist Order for David and Alicia (Lisa) Goodman, Mountain Group Financial of Leicester
Order Docket No. 13-030-I 08/04/2014 Alicia Marie Goodman a/k/a Lisa Goodman; David Charles Goodman
Order Docket No. 13-030-I 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 10/22/2013 Dairyland Insurance Co. of Wisconsin
Order Docket No. 13-032-I 10/31/2013 MVP Health Plan, Inc. and MVP Health Insurance Company
Order Docket No. 13-033-B 01/10/2014 Lisa Marie Fendelet

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