DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Typesort ascending Name Effective Date Title
Order Docket No. 14-092-S Wed, 12/03/2014 Oristano Capital, LLC
Order Docket No. 13-046-S Wed, 12/11/2013 Settlement against CCO Investment Corp
Order Docket No. 11-083-I Tue, 11/29/2011 Frederick J. O'Brien
Order Docket No. 10-041-B Thu, 07/15/2010 6:10 Services d/b/a Debt Free America
Order Docket No. 10-029-S Tue, 04/27/2010 UBS Securities, LLC and UBS Financial Services, Inc.
Order Docket No. 14-013-S Thu, 02/13/2014 Barry F. Cassese, Barry Cassese Portfolio Consulting, Sean E. Romano, and C&R Portfolio Consulting, Inc.
Order Docket No. 16-010-B Mon, 05/23/2016 Prosper Marketplace, Inc and Prosper Funding, LLC
Order Docket No. 12-022-S Thu, 01/17/2013 Ronald Berman and AXIOM Capital Management Inc.
Order Docket No 15-015-I Thu, 07/02/2015 Bluestone Life Insurance Company
Order Docket No. 11-086-I Mon, 12/12/2011 Ronald R. Prohaska
Order Docket No. 14-087-I Thu, 03/05/2015 John P. Gutschlag
Order Docket No. 10-080-S Thu, 09/23/2010 Electronic Notice Filing of Certain Federal Covered Securities with the State of Vermont
Order Superior Court Docket No. 881-11-09 Wed, 07/25/2012 Malcolm H. Parker—Stipulated Settlement Agreement and Consent Order
Order Docket No. 16-016-B Tue, 05/31/2016 PayPal, Inc., as successor to Venmo, LLC
Order Docket No. 12-022-S Wed, 02/13/2013 Order Removing Conditions from Ronald Berman and AXIOM Capital Management
Order Docket No. 15-007-B Fri, 05/15/2015 MSA Mortgage, LLC
Order Docket No. 11-088-I Mon, 12/12/2011 Jason E. Romero
Order Docket No. 14-040-I Tue, 12/23/2014 Steve Stokeling
Order Docket No. 16-018-I Thu, 06/02/2016 Credit Card-Related Insurance Benefits
Order Docket No. 14-002-S Tue, 01/21/2014 Thomas Donnelly, Agent and Quasar Distributors, LLC Broker: Brookfield Investments
Order Docket No. 04-050-S Thu, 11/04/2004 Wall Street Advisor Services, LLC
Order Docket No. 11-091-I Wed, 02/01/2012 Harold L. Stanyon
Order Docket No. 13-006-I Wed, 05/01/2013 Connecticut General Life Insurance Company
Order Docket No. 10-0098-H Mon, 10/04/2010 MVP Health Insurance
Order Docket No. 16-020-I Sun, 01/01/2017 Stop Loss Attachment Points

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