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BEV BUTULA: DFI offers administrative decisions

Did you know that the Wisconsin Department of Financial Institutions provides links to its administrative decisions?

The administrative orders are issued by the department and affect a certificate or license previously granted by the department and held by an individual or business. Administrative orders are also “issued by the department directing an individual or entity, whether or not holding a certificate or license, to take or refrain from certain actions,” according to the DFI website.

Three different types of administrative decisions are found on the site. They include licensed financial services, mortgage banking, and securities. The securities administrative orders include a brief summary of the case along with corresponding documents. Financial services and mortgage banking decisions provide links to the orders.

The DFI includes an archive of older orders as well. The extent of the archive varies depending of the type of decision. Securities administrative orders go back to 1998 while the mortgage banking orders date back to 2001. The licensed financial services decisions are available from 2007 forward.

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