Disciplinary Actions Search
This utility searches through Summaries of disciplinary actions taken by the New York State Insurance Department prior to October 3, 2011, and by the New York State Department of Financial Services (DFS), Insurance Division, on and after October 3, 2011, that have been posted to this Website.
The DFS, Insurance Division, has taken disciplinary action against the following licensees. Those categorized as stipulations have been agreed to by the licensee.
DFS actions that result from DFS hearings are subject to judicial review and possible stay of enforcement. Summaries do not state whether or not any particular action is being judicially reviewed or whether enforcement has been stayed.
For more information on the summaries available through this utility, please see the "What Summaries Can I Find With This Search?" and "How Far Back Do The Summaries Go?" sections below.
Enter your query in the following text box, and select the "Disciplinary Actions" button to use the utility. Different queries can be entered in the Search box (broker last name, company name, etc).
"What Summaries Can I Find With This Search?"
The summaries are organized by listings of:
- Stipulations involving INSURANCE COMPANIES
- Hearing Determinations involving AGENTS AND BROKERS - by region in New York State, Out-of-State hearing determinations
- Stipulations involving AGENTS AND BROKERS - by region in New York State, Out-of-State stipulations
Listings in each section include these details: LICENSEE, ADDRESS, PENALTY
"How Far Back Do The Summaries Go?"
The available summaries date back to 1997, and are periodically issued by the DFS Insurance Division.
When released, they will be posted to this Website.