DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Typesort ascending Name Effective Date Title
Order Docket No. 10-100-I Thu, 12/16/2010 Unum Life Insurance Company of America
Order Docket No. 14-024-S Tue, 05/27/2014 Jason Adam Oleet and Middlebury Securities, LLC
Order Docket No. 14-036-I Tue, 03/24/2015 Christopher R. Corley
Order Docket No. 12-022-S Thu, 01/17/2013 Ronald Berman and AXIOM Capital Management Inc.
Order Docket No. 12-056-I Wed, 01/30/2013 William A. Newburn
Order Docket No. 11-023-I Mon, 12/10/2012 Hartford Stipulation and Consent Order
Order Docket No. 12-045-I Wed, 01/02/2013 Michael Phillip O'Keefe
Order Docket No. 13-001-S Fri, 02/08/2013 UVest Financial Services Group, Inc.
Order Docket No. 11-002-I Mon, 02/07/2011 Aimee J. Bonin
Order Docket No. 12-050-B (Amended) Fri, 12/21/2012 Amended Order Removing The Directors, Officers and Committee Members of Border Lodge Credit Union
Order Docket No. 10-101-1 Sat, 12/18/2010 Aetna Life Insurance Company
Order Docket No. 14-023-S Mon, 07/21/2014 Solar/Utility No-Action Securities Exemption
Order Docket No. 15-028-I Fri, 10/30/2015 Mark J. Bean
Order Docket No. 12-022-S Wed, 02/13/2013 Order Removing Conditions from Ronald Berman and AXIOM Capital Management
Order Docket No. 12-052-I Tue, 01/22/2013 Jeffrey Douglas Penta
Order Docket No. 11-062-I Mon, 12/12/2011 Claude Alan Boucher
Order Docket No. 12-027-B Mon, 07/09/2012 IH Financial Licenses, Inc. and ITC Financial Licenses, Inc.
Order Docket No. 10-102-H Mon, 11/22/2010 Regence Bluecross Blueshield of Utah
Order Docket No. 14-036-I Tue, 07/29/2014 Order for Summary Suspension of the Insurance License of Christopher R. Corley
Order Docket No. 15-013-I Wed, 07/22/2015 Claymonte Arshawn McNeill
Order Docket No. 14-002-S Tue, 01/21/2014 Thomas Donnelly, Agent and Quasar Distributors, LLC Broker: Brookfield Investments
Order Docket No. 12-043-I Wed, 01/02/2013 Mark Patrick Santos
Order Docket No. 13-001-S Thu, 02/28/2013 Bankers Life and Casualty Company and BLC Financial Services, Inc.
Order Docket No. 11-103-I Fri, 03/23/2012 Sean Deandre Dade
Order Docket No. 12-012-B Fri, 05/11/2012 Transition Period For Financial Advisors To Obtain a Mortgage Loan Originator License

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