department of insurance securities and banking...
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Appendix 1 Department of Insurance, Securities and Banking
Organizational Chart
COMMISSIONER
Deputy Commissioner Market Operations
Insurance
Securities
Banking
Risk Finance
Deputy Commissioner Market Compliance
Compliance
Analysis
Enforcement and Consumer
Protection
Market Examinations
Chief of Policy Administration
Communications Officer
General Counsel Agency Fiscal
Officer
Executive Assistant
Executive Assistant
Administrative Services
Human Resources
IT
Public Information
Officer
Consumer Advocate
Appendix 2 Department of Insurance, Securities and Banking
Agency Organization
MARKET OPERATIONS - (MO)
Provides technical and administrative authority over the Department's functional areas, which include the Insurance Bureau, Securities Bureau, Banking Bureau, and Risk Finance Bureau;
Develops plans for work to be performed by subordinates, sets priorities and prepares schedules for completion of work; and
Develops quantitative and qualitative measures for evaluating the performance standards of subordinate employees.
Insurance Bureau
Conducts on-site financial examinations of all domiciled insurance companies and monitors the financial solvency of insurance companies doing business in the District of Columbia;
Issues licenses to insurance companies, insurance producers and health maintenance organizations, and mediates disputes between consumers and insurance industry;
Resolves issues relating to the review and approval of rates and policy forms of insurance products marketed in the District of Columbia;
Performs on-site examinations of the underwriting, policyholder service, claims, marketing, producer licensing and compliant handling processes of licensed companies to determine compliance with District of Columbia laws and industry practices; and
Monitors the activities of health maintenance organizations to determine compliance with pertinent District of Columbia and federal laws.
Securities Bureau
Regulates securities professionals in the District of Columbia; Licenses broker-dealer firms and their agents, agents of issuers, and investment advisers
and their representatives; Protects investor/consumers by insuring that securities entities and representatives
operating in the District comply with the District's securities laws; Conducts investor education through outreach activities in the community; Reviews and analyzes financial statements of business entities to ensure full disclosure
by registrants; and Is a member of the North American Securities Administrators Association, Inc. (NASAA).
NASAA is the voice of state securities agencies responsible for grass-roots investor protection and efficient capital formation.
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Banking Bureau
Conducts on-site examinations of District-chartered banks; Conducts examinations of non-depository financial services institutions doing business
in the District of Columbia; Issues licenses to check cashing organizations, consumer credit service organizations,
money lenders, money transmitters, mortgage brokers and lenders, and consumer sales finance companies; and
Reviews consumer complaints regarding banks and non-depository financial institutions to determine compliance with District of Columbia laws and regulations.
Risk Finance (Captives)
Regulates captive insurance companies, risk retention groups, and other kinds of non-
traditional risk transfer mechanisms that operate in or from the District of Columbia;
Licenses qualified institutions, performs financial analyses, and conducts regular
financial examinations to ensure fiscal stability; and
Provides practical and innovative regulatory responses in a timely manner to captive
insurance companies and other risk finance organizations seeking to establish
operations or transact business in the District.
MARKET COMPLIANCE - (MC)
Provides technical and administrative authority over the Department's functional areas,
which include the Enforcement and Consumer Protection Division, Market Examinations Division, and Compliance Analysis Division;
Develops quantitative and qualitative measures for evaluating the performance standards of subordinate employees;
Develops plans for work to be performed by subordinates, sets priorities and prepares schedules for completion of work; and
Establishes a functional process and reporting regimen to receive information from market operations that: a) identifies current and emerging market conditions and issues which may affect the development, design, and/or distribution of financial products and services in each industry sector and, b) evaluates the effect of current and proposed financial products and services on individual and business consumers.
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Market Examinations Division
Conducts on-site examinations of all domiciled insurance companies, inspections of investment advisers and broker-dealers, District-chartered banks and non-depository financial services institutions doing business in the District of Columbia;
Prioritizes companies for examination or inspection of financial records, prepares and reviews planning and examination work papers, and prepares examination reports in accordance with District of Columbia statutes and appropriate industry examination procedures; and
Monitors the solvency of financial firms doing business in the District of Columbia. Compliance and Analysis Division
Develops research and analysis of industry sectors to establish “best practices” standards and guidelines for design, delivery, and results monitoring of financial products and services;
Reviews consumer complaints regarding financial institutions and firms operating in the District to determine compliance with District of Columbia laws and regulations;
Conducts analysis and investigates matters regarding consumer issues, such as claim disputes, cancellation or non-renewal of insurance policies, improper insurance producer conduct and uninsured motorist fund claims, complaints regarding allegations of misconduct by securities professionals operating in the District of Columbia and complaints regarding banks and non-depository financial institutions to determine compliance with District of Columbia laws and regulations;
Refers suspected illegal activities to the Enforcement and Consumer Protection Division for investigation; and
Coordinates information from Market Examinations Division with Bureaus to identify and define key market factors that drive changes in each industry sector.
Enforcement and Consumer Protection Division
Plans and coordinates antifraud programs to detect and provide assistance in the prosecution of fraudulent insurance, securities and banking activities in the District of Columbia; maintains and reviews mandated antifraud plans submitted by insurers;
Ensures that all relevant consumer protection laws are strictly enforced;
Conducts investigations of suspected fraudulent insurance, securities and banking acts;
Conducts investigations and makes referrals to the appropriate authority for criminal or civil action in insurances fraud cases or to impose sanctions upon insurance producer, insurers and consumers who violate insurance statutes; and
Takes referrals, investigates and turns findings over to the appropriate law enforcement or regulatory agency, if there is a suspicion of securities, banking or financial institutions fraud.
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CHIEF OF POLICY, PLANNING, AND ADMINISTRATION
Provides management, administrative and program planning services to the Department;
Provides procurement coordination, supply management, inventory control, space utilization, telephone and other equipment installation and limited transportation services;
Provides clerical and administrative services to the Department; Manages the Technology and Systems professionals for network administration and
support of the Department's computer system and develops workflow management and analysis for the Department; and
Manages the Department’s strategic planning process. Administrative Services
Provides management, administrative and program planning services to the Department;
Provides procurement coordination, supply management, inventory control, space utilization, telephone and other equipment installation and limited transportation services;
Serves as the Department's liaison with the DC Procurement Office to coordinate, order, receive and inventory supplies, equipment and services;
Undertakes special studies dealing with administrative problems; Coordinates matters related to building maintenance; and Provides clerical and administrative services to the Department.
Human Resources
Provides services to the Department to assist with hiring, training and retaining a qualified and diverse staff.
Responsible for developing, implementing and continually refining DISB’s People Strategy, which is Transforming the Human Resource Function to ensure that DISB has the right people, in the right jobs, with the right skills and abilities, with a true sense of personal value;
Commits to providing high quality service to the residents of the District of Columbia; and
Facilitates the management of all corrections and disciplinary actions.
Information Technology
Provides network administration and support of the Department's computer system and develops workflow management and analysis for the Department;
Operates and maintains the Department's computer and computer related equipment;
Page 5 of 7
Ensures systems compatibility between the Local Area Network (LAN) and various equipment and software configurations being utilized by the Department's user community and the District's Wide Area Network through the Supervisory Computer Specialist;
Reviews and assigns numeric classifications to incoming materials including mail, publication directives, facsimiles, and other electronic communications;
Develops and maintains a process for electronically providing documents to the appropriate Office/Division within the Department; and
Performs searches for records and serves as the Department's Record Retention Coordinator, which identifies and categorizes all documents retained by the Department.
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COMMUNICATIONS
Prepares speeches, fact sheets and news releases for the Department; Handles inquiries from the press and public; Develops and prepares publications on insurance, securities and banking issues; Coordinates information from the NAIC and other financial industry regulatory
organizations on current and emerging marketplace issues and directs DISB's Consumer Outreach Program and the Financial Literacy Program;
Advocates for the Department on economic development issues; Conducts Fraud Public Education and Outreach Programs to increase the public's
awareness of insurance, securities and banking fraud; and Promotes the Department’s legislative, regulatory and policy positions to regulated
industries, media, community associations, residents, and elected officials in order to
increase public awareness of departmental programs, issues and challenges.
Consumer Advocate
Solicits and evaluates information concerning consumer protection issues and serves as
the chief advocate against consumer related financial service abuses. The objective of
the Division is achieved through both advocacy and education.
Public Information Officer
Promotes the Department’s legislative, regulatory and policy positions and make the
positions known to regulated industries, media, community associations, residents, and
elected officials in order to increase public awareness of departmental programs, issues
and challenges.
AGENCY FISCAL OFFICE
Provides overall general financial support to the Department including budgeting, short term planning, forecasting, and procurement services, accounting operations and payroll activities; and
Administers the Insurance Bureau and Health Division assessment programs.
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GENERAL COUNSEL
Provides legal guidance on insurance, securities and banking issues to the Insurance Bureau, Securities Bureau, Banking Bureau, Risk Finance Bureau, and the Market Examinations Division, Compliance Analysis Division and Enforcement and Consumer Protection Division as well as District of Columbia regulated entities and consumers;
Provides legislative and regulatory drafting to address insurance, securities and banking issues;
Negotiates and/or drafts settlement agreements, administrative bulletins, consent orders, administrative orders, rules, adjudicatory petitions, responses to motions, legal memorandums and briefs;
Develops charges and specifications relative to the denial, suspension and revocation of licensed companies and individuals;
Provides legal support for corrective and disciplinary actions against employees; Manages the Department’s Freedom of Information Act requirement, including
preparation of Department’s annual FOIA report; Manages all legal support for civil or administrative matters referred to the Office of the
Attorney General; and Serves as Legislative Counsel for the Department to the Council of the District of
Columbia and the Office of Documents.
Appendix 3
Department of Insurance, Securities and Banking
Agency Organization (Position Listings)
Title Name Hire Date Vac Stat Salary Funding F/P
Reg/Temp/Te
rm Series Grade Step
# FTE OFFICE OF THE COMMISSIONER1 Executive Assistant Wade, Alicia M 5/16/2011 F 78,925$ O-type F Reg DS-301 13 3
COMMUNICATIONS OFFICE2 Public Information Officer Hartig, Kathryn 8/27/2012 F 103,000$ O-type F Reg MS-1035 14 0
3 Public Affairs Specialist Bryant, Tanya D 5/22/2000 F 87,936$ O-type F Reg DS-1035 13 4
4 Public Affairs Specialist Drafton-Lowery, Lucille 9/14/1977 F 89,077$ O-type F Reg DS-1035 12 10
5 Consumer Protection Advocate Abdullah, Idriys J 9/4/2007 F 93,187$ O-type F Reg DS-301 13 9
FISCAL OFFICE6 Controller Bright, Ahaiwe 8/12/1985 F 155,131$ O-type F Reg DS 16 8
7 Accountant Armstrong Jr., Sherwood 12/5/2011 F 54,106$ O-type P Part-Time DS 11 1
8 Accountant May, Julia C 7/25/1990 F 62,805$ O-type F Reg DS 11 6
9 Accounts Payable Specialist Branham, Valencia M 12/10/1990 F 75,261$ O-type F Reg DS 12 5
10 Accounts Payable Supervisor Vanhorne, Lashawn M 12/3/1990 F 87,027$ O-type F Reg DS 13 5
11 Budget Officer Leakemariam, Nazreth 11/14/2005 F 108,692$ O-type F Reg DS 14 7
12 Deputy Commissioner for Market Operations * McPherson, Chester A 4/26/2010 F 145,873$ O-type Reg XS-301 10 0
INSURANCE13 Associate Commissioner for Insurance Barlow, Philip A 4/10/2000 F 152,453$ O-type F Reg MS-301 16 0
Financial Surveillance
14 Financial Examiner HMO Overman, Olivia Ann 8/27/2001 F 100,796$ O-type P Part-Time DS-1101 13 9
15 Financial Examiner Insurance Gordon, Janice Taylor 3/13/2000 F 119,115$ O-type P Part-Time DS-1101 14 9
16 Financial Examiner Insurance Merlo, Samuel A 4/3/2006 F 93,080$ O-type F Reg DS-1101 13 6
Actuarial Analysis
17 Actuary Manager Nkojo, Robert I 4/21/2003 F 104,777$ O-type F Reg MS-1510 14 0
18 Actuary Dyson, Monica L 3/24/2003 F 95,652$ O-type F Reg DS-1510 13 7
Forms and Policy
19 Supervisory Insurance Examiner General Fontaine, Jamai Y 6/8/1987 F 114,146$ O-type F Reg MS-1163 14 0
20 Insurance Examiner Beard, Andre 5/21/2012 F 76,111$ O-type F Reg DS-1163 12 4
21 Insurance Examiner Johnson, Colin B 2/25/1994 F 93,080$ O-type F Reg DS-1163 13 6
22 Insurance Examiner King, Angela Jenice 5/25/1994 F 95,652$ O-type F Reg DS-1163 13 7
OFFICE OF THE COMMISSIONER
COMMUNICATIONS
FINANCE
MARKET OPERATIONS
Appendix 3
Department of Insurance, Securities and Banking
Agency Organization (Position Listings)
Title Name Hire Date Vac Stat Salary Funding F/P
Reg/Temp/Te
rm Series Grade Step
23 Insurance Examiner Rielley, John M 9/19/1994 F 98,224$ O-type F Reg DS-1163 13 8
24 Health Insurance Financial Analyst Xu, Donghan 12/2/2013 F 56,271$ O-type F Reg DS-301 11 1
Insurance Licensing
25 Insurance Licensing Specialist Manager Bowles, Zadie 10/13/1974 F 117,471$ O-type F Reg MS-301 14 0
26 Insurance Licensing Specialist Hicks, Willie C 6/28/1983 F 73,950$ O-type F Reg DS-301 12 3
27 Insurance Licensing Specialist Johnson-Parker, Sheila A 10/31/2005 F 71,789$ O-type F Reg DS-301 12 2
28 Insurance Licensing Specialist Jordan Robinson, Lucynthia D 8/25/1981 F 80,433$ O-type F Reg DS-301 12 6
29 Insurance Licensing Specialist Parker, Denise M 10/4/1981 F 84,755$ O-type F Reg DS-301 12 8
SECURITIES30 Director of Securities Miles, Theodore A 7/3/2000 F 157,266$ O-type F Reg MS-303 16 0
Securities Licensing
31 Assistant Director Securities Licensing Goff, Maurice V 10/13/1987 F 111,878$ O-type F Reg MS-301 14 0
32 Securities Licensing Specialist Henderson, Yvonne A 11/30/1981 F 84,755$ O-type F Reg DS-301 12 8
33 Securities Licensing Specialist Martin, Lucinda D 12/5/2011 F 73,950$ O-type F Reg DS-301 12 3
34 Securities Licensing Specialist Sherard, Gregory W 4/15/2002 F 84,755$ O-type F Reg DS-301 12 8
Corporation Finance
35 Assistant Director McManus, James M. 10/22/2001 F 122,185$ O-type F Reg MS-1101 15 0
36 Secur Finan Exam (Rpt & Discl) Adu, George 8/8/2006 F 93,080$ O-type F Reg DS-1101 13 6
37 Secur Finan Exam (Rpt & Discl) Rusch, Alfred E t 8/26/2002 F 103,368$ O-type F Reg DS-1101 13 10
38 Securities Registration Specialist Jenkins, Sandra Ann 3/4/1974 F 57,151$ O-type F Reg DS-301 9 8
39 Securities Registration Specialist Settles, Dante D 3/1/2010 F 59,889$ O-type F Reg DS-301 11 3
BANKING40 Associate Commissioner for Banking Weaver, Christopher L. 10/11/2009 F 147,290$ O-type F Reg MS-1101 16 0
41 Program Manager (SSBCI) Egbuniwe, Ifeanyichukwu 3/24/2013 F 109,441$ F Reg MS-301 14 0
Banking Licensing
42 Banking Licensing Manager Hicks, Tiwana 2/24/2013 F 120,385$ O-type F Reg MS-301 14 0
43 Banking Licensing Specialist Cole, Jacqueline D 12/1/2003 F 58,080$ O-type F Reg DS-301 11 2
44 Banking Licensing Specialist Goines, Robsine M 6/22/1998 F 54,167$ O-type F Reg DS-301 9 6
45 Banking Licensing Specialist Robinson, Tracey K 3/26/2001 F 71,789$ O-type F Reg DS-301 12 2
46 Senior Licensing Specialist Rouse, Brian A 3/7/2005 F 95,652$ O-type F Reg DS-301 13 7
RISK FINANCE47 Director of Risk Finance * Sheppard, Dana G 9/13/1993 F 144,524$ O-type F Reg MS-301 16 0
Financial Analysis
48 Financial Examiner Officer Lawrence III, James H 7/31/2000 F 116,077$ O-type F Reg DS-501 14 8
Regulatory Review & Licensing
Appendix 3
Department of Insurance, Securities and Banking
Agency Organization (Position Listings)
Title Name Hire Date Vac Stat Salary Funding F/P
Reg/Temp/Te
rm Series Grade Step
49 Licensing Specialist Lewis, Joyce Ann 5/30/1980 F 71,789$ O-type F Reg DS-301 12 2
50 Deputy Commissioner for Market Compliance Schruender, Margaret 6/20/2011 F 157,266$ O-type F Reg MS-301 16 0
Market Examination Division
51 Director Market Examinations Meaza, Senayet 2/7/1994 F 123,136$ O-type F Reg MS-301 15 0
Insurance Examination
52 Supervisory Insurance Operations Examiner Audit Brown, Nathaniel Kevin 4/10/2000 F 120,385$ O-type F Reg MS-501 14 0
53 Insurance Operations Examiner (Audit) Ukairo, Chidinma 7/27/1987 F 70,743$ O-type F Reg DS-501 11 9
54 Insurance Operations Examiner (Audit) Ryan Jr., Francis J 2/2/2009 F 80,433$ O-type F Reg DS-501 12 6
Risk Finance Examination
55 Supervisory Financial Examiner O'Donnell, Patrick S. 6/6/2005 F 141,726$ O-type F Reg MS-501 15 0
56 Financial Examiner Insurance Holden, Kimberly N 7/16/2001 F 98,224$ O-type F Reg DS-1101 13 8
57 Financial Examiner & Analyst LI, Xiangchun 3/6/2006 F 106,963$ O-type F Reg DS-501 14 5
58 Financial Examiner Insurance Schleit, David 3/25/2013 F 98,224$ O-type F Reg DS-1101 13 8
Securities Examination
59 Securities Financial Examiner Cross, Theodore Vincent 8/18/2008 F 93,080$ O-type F Reg DS-501 13 6
60 Securities Financial Examiner Kunzweiler, Brad L 3/5/2007 F 87,872$ O-type F Reg DS-501 13 5
61 Securities Financial Examiner McHenry, Claire V 3/23/2005 F 93,080$ O-type F Reg DS-501 13 6
Banking Examination
62 Supervisory Bank Examiner Hochbaum, Warren 11/19/2012 F 141,726$ O-type F Reg MS-501 15 0
63 Banking Examiner Bright, Eva M 9/29/2008 F 78,272$ O-type F Reg DS-501 12 5
64 Banking Examiner Fuller, Samuel V 1/9/2006 F 97,849$ O-type F Reg DS-501 14 2
65 Banking Examiner Barrett, Tammie 9/24/2012 F 78,272$ O-type F Reg DS-501 12 5
66 Banking Examiner Farquharson-Reid, Angela 9/10/2012 F 72,552$ O-type F Reg DS-501 11 10
67 Banking Examiner Kerr, Monique 9/10/2012 F 71,789$ O-type F Reg DS-501 12 2
68 Lead Banking Examiner Smith, Beverly 1/14/2013 F 122,153$ O-type F Reg DS-501 14 10
Enforcement & Investigation
Enforcement
69 Fraud Compliance Manager Bates, Betty 10/3/1994 F 108,957$ O-type F Reg MS-1801 14 0
70 Fraud Investigator Izaguirre, Andres R 10/21/1979 F 86,916$ O-type F Reg DS-1810 12 9
Investigations
71 Assistant Director Marsillo, Gregory W 4/27/1998 F 141,726$ O-type F Reg MS-301 15 0
72 Fraud Investigator Tengen, Juliana N 3/5/2006 F 82,594$ O-type F Reg DS-1801 12 7
73 Investigator Fraud Loproto, Robert B 9/26/2010 F 78,272$ O-type F Reg DS-1810 12 5
MARKET COMPLIANCE
Appendix 3
Department of Insurance, Securities and Banking
Agency Organization (Position Listings)
Title Name Hire Date Vac Stat Salary Funding F/P
Reg/Temp/Te
rm Series Grade Step
74 Investigator Fraud Coles, Karen 1/10/2013 F 89,077$ O-type F Reg DS-1810 12 10
75 Investigator Fraud Ditchey, Carl J 11/4/2002 F 95,652$ O-type F Reg DS-1810 13 7
Compliance Analysis Division
76 Director Compliance Analysis Backus, Robley D 3/6/2005 F 133,900$ O-type F Reg MS-301 15 0
Consumer Services
77 Policy Analyst Carmen, Evelyn R 7/19/1999 F 110,001$ O-type F Reg DS-343 14 6
78 Insurance Operations Specialist Matthews, Sylvia D 2/16/1995 F 82,594$ O-type F Reg DS-301 12 7
79 Insurance Operations Specialist Dickens, Marionnetta 4/28/1986 F 84,755$ O-type F Reg DS-301 12 8
80 Insurance Operations Specialist Slade, Arthur F 10/14/2008 F 71,789$ O-type F Reg DS-301 12 2
81 Insurance Operations Specialist Stinson, Douglas 10/14/2008 F 73,950$ O-type F Reg DS-301 12 3
82 Consumer Services Specialist Shipp, Sharon 9/10/2012 F 76,111$ O-type F Reg DS-301 12 4
83 Consumer Services Specialist Moore, David 12/3/2012 F 89,077$ O-type F Reg DS-301 12 10
Market Research Analysis
84 Compliance Analyst Owens, Cheryl 9/9/2012 F 78,272$ O-type F Reg DS-1801 12 5
85 Compliance Analyst King, Carolyn 9/12/2011 F 89,077$ O-type F Reg DS-1801 12 10
86 Compliance Analyst Telamour, Junia 9/10/2012 F 73,950$ O-type F Reg DS-1801 12 3
87 Chief of Policy and Administration Purdie, Katrice 2/24/2013 F $112,334 O-type F Reg DS-301 16 0
Administrative Services
88 Administrative Services Program Supervisor Moore, Terry L 11/12/2002 F 100,425$ O-type F Reg MS-301 14 0
89 Support Services Specialist Tolson, Gerald J 3/4/1985 F 67,125$ O-type F Reg DS-342 11 7
90 Clerical Assistant Coto, Vera Maria 9/18/2006 F 45,381$ O-type F Reg DS-303 7 6
91 Clerical Assistant Pedroso-Scott, Tamisha 12/3/2012 F 40,009$ O-type F Reg DS-303 7 2
92 Clerical Assistant Melvin, Albert 12/21/1987 F 50,753$ O-type F Reg DS-303 7 10
93 Administrative Specialist Palmer, Shawnice Q 12/24/2007 F 58,080$ O-type F Reg DS-301 11 2
Human Resources Office
94 Management Liaison Specialist Rodriguez, Ernesto 9/26/2010 F 86,056$ O-type F Reg DS-301 13 6
95 Management Liaison Specialist Simmons, Marlene O 7/11/2005 F 60,389$ O-type F Reg DS-301 11 6
96 Management Liaison Specialist Pettigrew, Alice VonEva 7/7/1999 F 53,697$ O-type F Reg DS-301 11 2
Information Technology
97 Chief Information Officer Vaidyanathan, Shankar 5/7/2001 F 131,028$ O-type F Reg DS-2210 15 0
98 Information Technology Specialist Anderson II, Lloyd J 3/22/2005 F 93,080$ O-type F Reg DS-2210 13 6
99 Imaging Specialist Patterson, Deserie 10/13/1998 F 55,659$ O-type F Reg DS-301 9 7
OFFICE OF PLANNING, POLICY AND ADMINISTRATION
Appendix 3
Department of Insurance, Securities and Banking
Agency Organization (Position Listings)
Title Name Hire Date Vac Stat Salary Funding F/P
Reg/Temp/Te
rm Series Grade Step
Insurance Federal Grant
1 Supervisory Health Actuary Tanhehco, Efren L 11/7/2011 F 123,600$ federal F Term MS-1510 14 0
2 Health Insurance Financial Analyst Selassie, Alula 12/18/2011 F 59,889$ federal F Term DS-301 11 3
3 Actuary Shirley, Darniece L 1/3/2011 F 90,508$ federal F Term DS-1510 13 5
Banking Private Grant
1 Foreclosure Mediation Administrator Arnold, Ben 6/18/2012 F 91,201$ private F Term MS-301 14 0
2 Clerical Assistant Payton, Sirita Y 10/24/2011 F 45,381$ private F Term DS-303 7 6
3 Clerical Assistant Butler, Sabrina 2/27/2012 F 44,038$ private F Term DS-303 7 5
4 Program Manager (Econ. Development) Cook, Sybongile 10/21/2012 F 91,201$ private F Term DS-340 14 0
Interim Commissioner * McPherson, Chester
Acting Deputy Commissioner/Market Operations * Sheppard, Dana
GRANT FUNDED POSITIONS
Vacancy Title Series Grade Step Funding Job Status Salary Date Expected to fill
1945 Assistant Director for Financial Exam 1101 14 0 Local Reg $85,105.00 TBD
5439 Actuary 1510 13 1 Local Reg $80,220.00 3/30/2014
12196 Financial Examiner Insurance 1101 14 0 Local Reg $94,811.00 TBD
13699 Associate Commissioner Enforcement 301 16 0 Local Reg $109,062.00 TBD
15485 Information Technology Specialist 2210 13 Local Reg $80,220.00 3/30/2014
18144 Executive Assistant 301 12 0 Local Reg $62,499.00 3/30/2014
34865 Banking Examiner 501 12 0 Local Reg $69,628.00 3/30/2014
35824 Imaging Specialist 301 9 0 local Reg $46,707.00 TBD
36236 Health Care Policy Analyst 301 14 0 Local Reg $94,811.00 3/30/2014
39088 Commissioner 501 E5 0 Local Reg $153,340.00 TBD
46076 Financial Examiner (Auditor) 501 13 0 Local Reg $80,220.00 3/30/2014
46081 Banking Examiner 501 12 0 Local Reg $69,628.00 3/30/2014
75075 Policy Analyst 343 14 0 Local Reg $94,811.00 TBD
75089 Clerical Assistant 301 7 0 Local Reg $37,539.00 TBD
75090 Accounts Payable Specialist 501 11 0 Local Reg $56,271.00 TBD
75095 Market Services Manager 301 15 0 Local Reg $98,285.00 TBD
75304 Senior Banking Licensing Specialist 301 13 0 Local Reg $80,220.00 TBD
75356 Health Insurance Research Analyst 301 11 0 Local Reg $56,271.00 TBD
75386 Senior Bank Examiner 501 13 0 local Reg $80,220.00 3/30/2014
75392 Director Communication 301 15 0 local Reg $98,285.00 TBD
75430 Manager Consumer Services 301 14 0 Local Reg $85,105.00 TBD
75431 Manager-Market Research & Analysis 301 14 0 Local Reg $85,105.00 TBD
78117 Health Insurance Analyst 301 12 1 Local Reg $69,628.00 3/30/2014
78131 Health Insurance Financial Analyst 301 11 1 Local Reg $56,271.00 TBD
78145 Health Insurance Examiner 301 12 1 local Reg $69,628.00 TBD
82353 Administrative Specialist 301 11 1 Grant Reg $56,271.00 TBD
82354 Foreclosure Counsel 13 1 Grant Reg $80,220.00 TBD
82360 Health Insurance Consumer Specialist 301 12 0 Grant Reg $69,628.00 TBD
Total: 28 Vacant Positions
Appendix 4
Department of Insurance, Securities and Banking
Agency Organization (Vacant Positions)
Employee/Vendor Name Job Title Program
Code
Program Title Agy
Fund
Agy Fund Title Description Travel Date Trans Amt Total by
Empl/Vendor
ALFRED RUSCH SECURITIES FINAN EXAM (RPT AND DISCL) 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND SECLAW-4/7 4/3/13 855.24
ALFRED RUSCH SECURITIES FINAN EXAM (RPT AND DISCL) 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND LAWENF-7/14 6/7/13 956.58
ALFRED RUSCH-Travel Reimbursement SECURITIES FINAN EXAM (RPT AND DISCL) 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND 062113 (855.24) 956.58
ANDRE BEARD INSURANCE EXAMINER 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAIC-4/5-9 3/27/13 1,189.98
ANDRE BEARD INSURANCE EXAMINER 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAIC-4/5REIM 8/1/13 46.00
ANDRE BEARD INSURANCE EXAMINER 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICSUM-8/23 8/14/13 1,476.74
ANDRE BEARD INSURANCE EXAMINER 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICSUM-8/23 9/13/13 50.60 2,763.32BETTY BATES FRAUD COMPLIANCE MANAGER 4000 ENFORCEMENT PROGRAM 2100 HMO ASSESSMENT 2013IRES-7/27 6/27/13 138.45
BETTY BATES FRAUD COMPLIANCE MANAGER 4000 ENFORCEMENT PROGRAM 2200 INSURANCE ASSESSMENT 2013IRES-7/27 6/27/13 751.61
BETTY BATES FRAUD COMPLIANCE MANAGER 4000 ENFORCEMENT PROGRAM 2350 SECURITIES AND BANKING FUND 2013IRES-7/27 6/27/13 870.29
BETTY BATES FRAUD COMPLIANCE MANAGER 4000 ENFORCEMENT PROGRAM 2800 CAPTIVE INSURANCE 2013IRES-7/27 6/27/13 217.57
BETTYE BATES-Travel Reimb FRAUD COMPLIANCE MANAGER 4000 ENFORCEMENT PROGRAM 2100 HMO ASSESSMENT 093013 (3.56)
BETTYE BATES-Travel Reimb FRAUD COMPLIANCE MANAGER 4000 ENFORCEMENT PROGRAM 2200 INSURANCE ASSESSMENT 093013 (19.31)
BETTYE BATES-Travel Reimb FRAUD COMPLIANCE MANAGER 4000 ENFORCEMENT PROGRAM 2350 SECURITIES AND BANKING FUND 093013 (22.36)
BETTYE BATES-Travel Reimb FRAUD COMPLIANCE MANAGER 4000 ENFORCEMENT PROGRAM 2350 SECURITIES AND BANKING FUND 093013 (56.20)
BETTYE BATES-Travel Reimb FRAUD COMPLIANCE MANAGER 4000 ENFORCEMENT PROGRAM 2800 CAPTIVE INSURANCE 093013 (5.59) 1,870.90BEVERLY SMITH LEAD BANKING EXAMINER 5000 BANKING 2350 SECURITIES AND BANKING FUND AARMR-4/28 4/4/13 1,307.65
BEVERLY SMITH LEAD BANKING EXAMINER 5000 BANKING 2350 SECURITIES AND BANKING FUND AARMR-4/28 5/17/13 103.25
BEVERLY SMITH LEAD BANKING EXAMINER 5000 BANKING 2350 SECURITIES AND BANKING FUND 54242095-SMITH 4/8/13 945.00
BEVERLY SMITH LEAD BANKING EXAMINER 5000 BANKING 2350 SECURITIES AND BANKING FUND 14548-SMITH 6/7/13 325.00 2,680.90
BRAD KUNZWEILER SECURITIES FINANCIAL EXAMINER 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND TRAVADV.-5/30 4/29/13 889.80
BRAD KUNZWEILER SECURITIES FINANCIAL EXAMINER 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND MIDATL.-6/4-6 5/23/13 550.65
BRAD KUNZWEILER SECURITIES FINANCIAL EXAMINER 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND NASAABD-5/30 6/13/13 11.50
BRAD KUNZWEILER SECURITIES FINANCIAL EXAMINER 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND NASAAINV-8/11 7/31/13 960.93
BRAD KUNZWEILER SECURITIES FINANCIAL EXAMINER 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND MIDATL.-6/4-6 6/28/13 51.68
BRAD KUNZWEILER SECURITIES FINANCIAL EXAMINER 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND BKUNZWEILER-20 5/14/13 185.00
BRAD KUNZWEILER SECURITIES FINANCIAL EXAMINER 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND SPRINGCONF.SEC 4/9/13 2,600.00
BRAD KUNZWEILER SECURITIES FINANCIAL EXAMINER 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND NASAAINV-8/11 8/26/13 360.47
BRAD KUNZWEILER SECURITIES FINANCIAL EXAMINER 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND 2467-KUNZWEIL 9/16/13 185.00
BRAD KUNZWEILER-Travel Reimbursement SECURITIES FINANCIAL EXAMINER 3000 SECURITIES PROGRAM 2800 SECURITIES AND BANKING FUND 100512 (1,171.60) 4,623.43
BRIAN ROUSE SENIOR LICENSING SPECIALIST 5000 BANKING 2350 SECURITIES AND BANKING FUND NMLSCONF.-2/26 5/3/13 300.00
BRIAN ROUSE SENIOR LICENSING SPECIALIST 2000 MARKET EXAMINATIONS 2200 SECURITIES AND BANKING FUND TRAVREIM-8/12 10/16/13 12.16
BRIAN ROUSE SENIOR LICENSING SPECIALIST 8000 MARKET EXAMINATIONS 2350 SECURITIES AND BANKING FUND MTR2013-9/25 9/18/13 1,465.05 1,777.21BRIGHT AHAIWE CONTROLLER 100F AGENCY FINANCIAL OPERATIONS 2100 HMO ASSESSMENT AIRREM-7/13 5/10/13 25.59
BRIGHT AHAIWE CONTROLLER 100F AGENCY FINANCIAL OPERATIONS 2100 HMO ASSESSMENT AGACONF-7/13 6/20/13 81.82
BRIGHT AHAIWE CONTROLLER 100F AGENCY FINANCIAL OPERATIONS 2200 INSURANCE ASSESSMENT AIRREM-7/13 5/10/13 138.93
BRIGHT AHAIWE CONTROLLER 100F AGENCY FINANCIAL OPERATIONS 2200 INSURANCE ASSESSMENT AGACONF-7/13 6/20/13 444.18
BRIGHT AHAIWE CONTROLLER 100F AGENCY FINANCIAL OPERATIONS 2350 SECURITIES AND BANKING FUND AIRREM-7/13 5/10/13 160.86
BRIGHT AHAIWE CONTROLLER 100F AGENCY FINANCIAL OPERATIONS 2350 SECURITIES AND BANKING FUND AGACONF-7/13 6/20/13 514.32
BRIGHT AHAIWE CONTROLLER 100F AGENCY FINANCIAL OPERATIONS 2800 CAPTIVE INSURANCE AIRREM-7/13 5/10/13 40.22
BRIGHT AHAIWE CONTROLLER 100F AGENCY FINANCIAL OPERATIONS 2800 CAPTIVE INSURANCE AGACONF-7/13 6/20/13 128.58
BRIGHT AHAIWE CONTROLLER 100F AGENCY FINANCIAL OPERATIONS 2100 HMO ASSESSMENT 01635567-AHAIW 7/30/13 26.25
BRIGHT AHAIWE CONTROLLER 100F AGENCY FINANCIAL OPERATIONS 2200 INSURANCE ASSESSMENT 01635567-AHAIW 7/30/13 142.50
BRIGHT AHAIWE CONTROLLER 100F AGENCY FINANCIAL OPERATIONS 2350 SECURITIES AND BANKING FUND 01635567-AHAIW 7/30/13 165.00
BRIGHT AHAIWE CONTROLLER 100F AGENCY FINANCIAL OPERATIONS 2800 CAPTIVE INSURANCE 01635567-AHAIW 7/30/13 41.25
BRIGHT AHAIWE CONTROLLER 1000 AGENCY MANANGEMENT PROGRAM 2100 HMO ASSESSMENT ID-35953AHAIWE 3/15/13 9.10
BRIGHT AHAIWE CONTROLLER 1000 AGENCY MANANGEMENT PROGRAM 2100 HMO ASSESSMENT NLC CONF.-BAHA 2/5/13 42.00
Appendix 5
Department of Insurance, Securities and Banking
Travel Report -FISCAL YEAR 2013
Appendix 5
Employee/Vendor Name Job Title Program
Code
Program Title Agy
Fund
Agy Fund Title Description Travel Date Trans Amt Total by
Empl/Vendor
BRIGHT AHAIWE CONTROLLER 1000 AGENCY MANANGEMENT PROGRAM 2200 INSURANCE ASSESSMENT ID-35953AHAIWE 3/15/13 49.40
BRIGHT AHAIWE CONTROLLER 1000 AGENCY MANANGEMENT PROGRAM 2200 INSURANCE ASSESSMENT NLC CONF.-BAHA 2/5/13 228.00
BRIGHT AHAIWE CONTROLLER 1000 AGENCY MANANGEMENT PROGRAM 2350 SECURITIES AND BANKING FUND ID-35953AHAIWE 3/15/13 57.20
BRIGHT AHAIWE CONTROLLER 1000 AGENCY MANANGEMENT PROGRAM 2350 SECURITIES AND BANKING FUND NLC CONF.-BAHA 2/5/13 264.00
BRIGHT AHAIWE CONTROLLER 1000 AGENCY MANANGEMENT PROGRAM 2800 CAPTIVE INSURANCE ID-35953AHAIWE 3/15/13 14.30
BRIGHT AHAIWE CONTROLLER 1000 AGENCY MANANGEMENT PROGRAM 2800 CAPTIVE INSURANCE NLC CONF.-BAHA 2/5/13 66.00
BRIGHT AHAIWE CONTROLLER 100F AGENCY FINANCIAL OPERATIONS 2100 HMO ASSESSMENT PDC2013-B.AHAI 5/8/13 54.25
BRIGHT AHAIWE CONTROLLER 100F AGENCY FINANCIAL OPERATIONS 2200 INSURANCE ASSESSMENT PDC2013-B.AHAI 5/8/13 294.50
BRIGHT AHAIWE CONTROLLER 100F AGENCY FINANCIAL OPERATIONS 2350 SECURITIES AND BANKING FUND PDC2013-B.AHAI 5/8/13 341.00
BRIGHT AHAIWE CONTROLLER 100F AGENCY FINANCIAL OPERATIONS 2800 CAPTIVE INSURANCE PDC2013-B.AHAI 5/8/13 85.25
BRIGHT AHAIWE CONTROLLER 100F AGENCY FINANCIAL OPERATIONS 2100 HMO ASSESSMENT AGACONF-7/18 8/16/13 14.35
BRIGHT AHAIWE CONTROLLER 100F AGENCY FINANCIAL OPERATIONS 2200 INSURANCE ASSESSMENT AGACONF-7/18 8/16/13 77.90
BRIGHT AHAIWE CONTROLLER 100F AGENCY FINANCIAL OPERATIONS 2350 SECURITIES AND BANKING FUND AGACONF-7/18 8/16/13 90.20
BRIGHT AHAIWE CONTROLLER 100F AGENCY FINANCIAL OPERATIONS 2800 CAPTIVE INSURANCE AGACONF-7/18 8/16/13 22.55 3,619.50CHERYL OWENS COMPLIANCE ANALYST 5000 BANKING 2350 SECURITIES AND BANKING FUND NACCA-6/11 6/7/13 1,371.22
CHERYL OWENS COMPLIANCE ANALYST 5000 BANKING 2350 SECURITIES AND BANKING FUND NACCA-6/10-14 7/5/13 741.92
CHERYL OWENS COMPLIANCE ANALYST 5000 BANKING 2350 SECURITIES AND BANKING FUND SILA-9/21 8/26/13 1,695.38 3,808.52CHESTER MCPHERSON DEPUTY COMMISSIONER FOR MARKET OPERATIONS 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT TRAVADV-1/28 1/17/13 340.80
CHESTER MCPHERSON DEPUTY COMMISSIONER FOR MARKET OPERATIONS 6000 RISK FINANCE 2200 INSURANCE ASSESSMENT CAPTCONF3/10 2/27/13 488.68
CHESTER MCPHERSON DEPUTY COMMISSIONER FOR MARKET OPERATIONS 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAIC-4/6-9 3/27/13 1,625.28
CHESTER MCPHERSON DEPUTY COMMISSIONER FOR MARKET OPERATIONS 6000 RISK FINANCE 2200 INSURANCE ASSESSMENT CICA-3/10/13 3/29/13 83.48
CHESTER MCPHERSON DEPUTY COMMISSIONER FOR MARKET OPERATIONS 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICSPR.-4/5 4/29/13 16.00
CHESTER MCPHERSON DEPUTY COMMISSIONER FOR MARKET OPERATIONS 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICCOMM-7/10 7/29/13 250.00
CHESTER MCPHERSON DEPUTY COMMISSIONER FOR MARKET OPERATIONS 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICNEZONE6/18 7/29/13 165.00
CHESTER MCPHERSON DEPUTY COMMISSIONER FOR MARKET OPERATIONS 5000 BANKING 2350 SECURITIES AND BANKING FUND TRAVADV-1/28 1/17/13 681.60
CHESTER MCPHERSON DEPUTY COMMISSIONER FOR MARKET OPERATIONS 6000 RISK FINANCE 2350 SECURITIES AND BANKING FUND CAPTCONF3/10 2/27/13 977.35
CHESTER MCPHERSON DEPUTY COMMISSIONER FOR MARKET OPERATIONS 6000 RISK FINANCE 2350 SECURITIES AND BANKING FUND CICA-3/10/13 3/29/13 166.96
CHESTER MCPHERSON DEPUTY COMMISSIONER FOR MARKET OPERATIONS 5000 BANKING 2350 SECURITIES AND BANKING FUND CSBSFORUM-5/20 5/10/13 2,315.34
CHESTER MCPHERSON DEPUTY COMMISSIONER FOR MARKET OPERATIONS 5000 BANKING 2350 SECURITIES AND BANKING FUND CSBSFORUM-5/20 6/21/13 262.51
CHESTER MCPHERSON DEPUTY COMMISSIONER FOR MARKET OPERATIONS 6000 RISK FINANCE 2800 CAPTIVE INSURANCE TRAVADV-1/28 1/17/13 340.80
CHESTER MCPHERSON DEPUTY COMMISSIONER FOR MARKET OPERATIONS 6000 RISK FINANCE 2800 CAPTIVE INSURANCE CAPTCONF3/10 2/27/13 488.68
CHESTER MCPHERSON DEPUTY COMMISSIONER FOR MARKET OPERATIONS 6000 RISK FINANCE 2800 CAPTIVE INSURANCE CICA-3/10/13 3/29/13 83.48
CHESTER MCPHERSON DEPUTY COMMISSIONER FOR MARKET OPERATIONS 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICSUM-8/23 8/14/13 1,477.54
CHESTER MCPHERSON DEPUTY COMMISSIONER FOR MARKET OPERATIONS 8000 MARKET EXAMINATIONS 2350 SECURITIES AND BANKING FUND AARMR-8/4-9 8/21/13 2,148.60
CHESTER MCPHERSON DEPUTY COMMISSIONER FOR MARKET OPERATIONS 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND CSBS-10/2 8/26/13 571.96
CHESTER MCPHERSON DEPUTY COMMISSIONER FOR MARKET OPERATIONS 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICSUM-8/23 9/3/13 124.55
CHESTER MCPHERSON DEPUTY COMMISSIONER FOR MARKET OPERATIONS 8000 MARKET EXAMINATIONS 2200 INSURANCE ASSESSMENT NASAACONF-9/24 9/25/13 2,040.76
CHESTER MCPHERSON-Travel Reimbursement DEPUTY COMMISSIONER FOR MARKET OPERATIONS 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 101912 (169.18) 14,480.19
CHIDINMA UKAIRO INSURANCE OPERATIONS EXAMINER (AUDIT) 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT SOFE-9/4 8/26/13 309.16 309.16CHRISTOPHER WEAVER ASSOCIATE COMMISSIONER FOR BANKING 5000 BANKING 2350 SECURITIES AND BANKING FUND CHRISWEAVER-SY 12/7/12 995.00
CHRISTOPHER WEAVER ASSOCIATE COMMISSIONER FOR BANKING 5000 BANKING 2350 SECURITIES AND BANKING FUND 14553-WEAVER 6/7/13 325.00
CHRISTOPHER WEAVER ASSOCIATE COMMISSIONER FOR BANKING 5000 BANKING 2350 SECURITIES AND BANKING FUND TRAVREIM-10/1 11/20/12 1,165.62
CHRISTOPHER WEAVER ASSOCIATE COMMISSIONER FOR BANKING 5000 BANKING 2350 SECURITIES AND BANKING FUND CSBS Mgt. Boston 3/27/13 1,133.90
CHRISTOPHER WEAVER ASSOCIATE COMMISSIONER FOR BANKING 5000 BANKING 2350 SECURITIES AND BANKING FUND CSBSFORUM-5/19 5/10/13 2,609.19
CHRISTOPHER WEAVER ASSOCIATE COMMISSIONER FOR BANKING 5000 BANKING 2350 SECURITIES AND BANKING FUND NACCA-6/10 5/24/13 1,228.12
CHRISTOPHER WEAVER ASSOCIATE COMMISSIONER FOR BANKING 5000 BANKING 2350 SECURITIES AND BANKING FUND CSBS-4/3REIM. 7/29/13 284.98
CHRISTOPHER WEAVER ASSOCIATE COMMISSIONER FOR BANKING 5000 BANKING 2350 SECURITIES AND BANKING FUND NACCA-6/10 7/29/13 90.76
CHRISTOPHER WEAVER ASSOCIATE COMMISSIONER FOR BANKING 5000 BANKING 2350 SECURITIES AND BANKING FUND NMLS CONF-2/26 3/18/13 1,385.54
CHRISTOPHER WEAVER ASSOCIATE COMMISSIONER FOR BANKING 5000 BANKING 2350 SECURITIES AND BANKING FUND SSBCI-6/2-5/13 5/23/13 1,032.15
CHRISTOPHER WEAVER ASSOCIATE COMMISSIONER FOR BANKING 5000 BANKING 2350 SECURITIES AND BANKING FUND SSBCIREIM-6/5 7/29/13 29.90
CHRISTOPHER WEAVER ASSOCIATE COMMISSIONER FOR BANKING 5000 BANKING 2350 SECURITIES AND BANKING FUND NDCECON.-8/4 7/31/13 1,497.15
CHRISTOPHER WEAVER ASSOCIATE COMMISSIONER FOR BANKING 5000 BANKING 2350 SECURITIES AND BANKING FUND NDCECON-8/4 9/3/13 122.95
Appendix 5
Employee/Vendor Name Job Title Program
Code
Program Title Agy
Fund
Agy Fund Title Description Travel Date Trans Amt Total by
Empl/Vendor
CHRISTOPHER WEAVER ASSOCIATE COMMISSIONER FOR BANKING 5000 BANKING 2350 SECURITIES AND BANKING FUND 15170 7/3/13 1,790.00
CHRIS WEAVER-Travel Reimbursement ASSOCIATE COMMISSIONER FOR BANKING 5000 BANKING 2800 SECURITIES AND BANKING FUND 102612 (1,085.66) 12,604.60
CLAIRE MCHENRY SECURITIES FINANCIAL EXAMINER 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND NASAAINV-8/11 7/31/13 1,084.62
CLAIRE MCHENRY SECURITIES FINANCIAL EXAMINER 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND NASAAINV-8/11 8/26/13 205.50
CLAIRE MCHENRY-Travel Reimb SECURITIES FINANCIAL EXAMINER 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND 083013 (976.80) 313.32COLIN JOHNSON INSURANCE EXAMINER 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICEREG-5/8 4/11/13 213.50
COLIN JOHNSON INSURANCE EXAMINER 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICEREG-5/8 6/13/13 119.50
COLIN JOHNSON-Travel Reimbursement INSURANCE EXAMINER 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 062813 (103.22) 229.78
DANA SHEPPARD DIRECTOR OF RISK FINANCE 6000 RISK FINANCE 2800 CAPTIVE INSURANCE TRAVADV.-1/27 1/17/13 1,733.40
DANA SHEPPARD DIRECTOR OF RISK FINANCE 6000 RISK FINANCE 2800 CAPTIVE INSURANCE CAPT.CONF-3/10 2/13/13 1,858.68
DANA SHEPPARD DIRECTOR OF RISK FINANCE 6000 RISK FINANCE 2800 CAPTIVE INSURANCE WORLDCAPT.1/28 2/22/13 180.99
DANA SHEPPARD DIRECTOR OF RISK FINANCE 6000 RISK FINANCE 2800 CAPTIVE INSURANCE CAPT.CONF-3/10 4/4/13 373.17
DANA SHEPPARD DIRECTOR OF RISK FINANCE 6000 RISK FINANCE 2800 CAPTIVE INSURANCE CAPTPANEL-7/29 6/7/13 639.02
DANA SHEPPARD DIRECTOR OF RISK FINANCE 6000 RISK FINANCE 2800 CAPTIVE INSURANCE VERMCAPT.-8/13 8/13 1,755.50
DANA SHEPARD DIRECTOR OF RISK FINANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICSUM-8/23 8/14/13 997.25
DANA SHEPARD DIRECTOR OF RISK FINANCE 6000 RISK FINANCE 2800 CAPTIVE INSURANCE PROPCASU-7/31 8/26/13 113.53
DANA SHEPARD DIRECTOR OF RISK FINANCE 6000 RISK FINANCE 2800 CAPTIVE INSURANCE VERMCAPT.-8/13 9/13/13 28.30
DANA SHEPARRD-Travel Reimb DIRECTOR OF RISK FINANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 080913 (278.22)
DANA SHEPARRD-Travel Reimb DIRECTOR OF RISK FINANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 083013 (106.15)
DANA SHEPARRD-Travel Reimb DIRECTOR OF RISK FINANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 092013 (729.60) 6,565.87DARNIECE L. SHIRLEY ACTUARY 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAIC-5/5ADVANC 4/3/13 1,260.76
DARNIECE L. SHIRLEY ACTUARY 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICEREG-5/5/1 6/21/13 59.62 1,320.38
DAVID SCHLEIT FINANCIAL EXAMINER INSURANCE 6000 RISK FINANCE 2200 INSURANCE ASSESSMENT NAICFINAN-5/29 5/10/13 1,127.33
DAVID SCHLEIT FINANCIAL EXAMINER INSURANCE 6000 RISK FINANCE 2200 INSURANCE ASSESSMENT NAICFINAN-5/29 6/13/13 108.27
DAVID SCHLEIT FINANCIAL EXAMINER INSURANCE 6000 RISK FINANCE 2800 CAPTIVE INSURANCE SOFE-7/20/13 6/7/13 1,457.90
DAVID SCHLEIT FINANCIAL EXAMINER INSURANCE 6000 RISK FINANCE 2800 CAPTIVE INSURANCE 506-DSCHLEIT 5/29/13 530.00
DAVID SCHLEIT FINANCIAL EXAMINER INSURANCE 6000 RISK FINANCE 2800 CAPTIVE INSURANCE SOFE-7/20 8/20/13 140.50
DAVID SCHLIETravel Reimb FINANCIAL EXAMINER INSURANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 080213 (987.10) 2,376.90DENA REED DEPUTY GENERAL COUNSEL 1000 AGENCY MANANGEMENT PROGRAM 2100 HMO ASSESSMENT CONFREIM-2/20 3/6/13 12.53
DENA REED DEPUTY GENERAL COUNSEL 1000 AGENCY MANANGEMENT PROGRAM 2200 INSURANCE ASSESSMENT CONF.REIM-2/20 3/6/13 68.02
DENA REED DEPUTY GENERAL COUNSEL 1000 AGENCY MANANGEMENT PROGRAM 2350 SECURITIES AND BANKING FUND CONF.REIM-2/20 3/6/13 78.76
DENA REED DEPUTY GENERAL COUNSEL 1000 AGENCY MANANGEMENT PROGRAM 2800 CAPTIVE INSURANCE CONFREIM-2/20 3/6/13 19.69
DENA REED DEPUTY GENERAL COUNSEL 1000 AGENCY MANANGEMENT PROGRAM 2350 SECURITIES AND BANKING FUND CSBSSEM-7/30 6/28/13 1,057.56
DENA REED GENERAL COUNSEL 1000 AGENCY MANANGEMENT PROGRAM 2350 SECURITIES AND BANKING FUND 15168 7/3/13 1,790.00
DENA REED GENERAL COUNSEL 1000 AGENCY MANANGEMENT PROGRAM 2350 SECURITIES AND BANKING FUND CSBSSEM-7/30 8/21/13 106.78
DENA REED GENERAL COUNSEL 1000 AGENCY MANANGEMENT PROGRAM 2100 HMO ASSESSMENT NASAA-10/5 9/25/13 140.63
DENA REED GENERAL COUNSEL 1000 AGENCY MANANGEMENT PROGRAM 2200 INSURANCE ASSESSMENT NASAA-10/5 9/25/13 763.40
DENA REED GENERAL COUNSEL 1000 AGENCY MANANGEMENT PROGRAM 2350 SECURITIES AND BANKING FUND NASAA-10/5 9/25/13 883.94
DENA REED GENERAL COUNSEL 1000 AGENCY MANANGEMENT PROGRAM 2800 CAPTIVE INSURANCE NASAA-10/5 9/25/13 220.99 5,142.30EFREN TANHEHCO SUPERVISORY HEALTH ACTUARY 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAIC-4/5-9 3/27/13 1,632.08
EFREN TANHEHCO SUPERVISORY HEALTH ACTUARY 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT SOANAT.-6/10 6/7/13 205.00
EFREN TANHEHCO SUPERVISORY HEALTH ACTUARY 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT SOANAT.-6/10 7/5/13 205.82
EFREN TANHECO-Travel Reimb SUPERVISORY HEALTH ACTUARY 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 092013 (541.73)
EFREN TANHEHCO SUPERVISORY HEALTH ACTUARY 2000 INSURANCE PROGRAM 8210 FEDERAL GRANTS NAICSUMM-8/23 8/14/13 1,842.65
EFREN TANHEHCO SUPERVISORY HEALTH ACTUARY 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAIC 4/5-9 10/16/13 36.41 3,380.23EVA M. BRIGHT BANKING EXAMINER 5000 BANKING 2350 SECURITIES AND BANKING FUND 54242146-BRIGH 4/8/13 945.00
EVA M. BRIGHT BANKING EXAMINER 5000 BANKING 2350 SECURITIES AND BANKING FUND AARMR-4/28 4/4/13 1,307.65 2,252.65
FRANK RYAN INSURANCE OPERATIONS EXAMINER (AUDIT) 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICFINA-5/28 4/12/13 1,259.70
FRANK RYAN INSURANCE OPERATIONS EXAMINER (AUDIT) 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICFINAN-5/28 6/21/13 81.68
FRANK RYAN INSURANCE OPERATIONS EXAMINER (AUDIT) 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT SOFE-9/4 8/26/13 226.11 1,567.49GEORGE ADU SECUR FINAN EXAM (RPT AND DISCL) 8000 MARKET EXAMINATIONS 2350 SECURITIES AND BANKING FUND NASAA-10/5 10/1/13 2,073.76
GEORGE ADU-Travel Reimb SECUR FINAN EXAM (RPT AND DISCL) 3000 SECURITIES PROGRAM 2800 SECURITIES AND BANKING FUND 100512 (1,113.00) 960.76
GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2100 HMO ASSESSMENT 2013INSFRAUD 2/27/13 74.40
Appendix 5
Employee/Vendor Name Job Title Program
Code
Program Title Agy
Fund
Agy Fund Title Description Travel Date Trans Amt Total by
Empl/Vendor
GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2100 HMO ASSESSMENT TRAVREIM-10/2 10/15/12 75.35
GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2100 HMO ASSESSMENT 2013INS.-3/10 3/29/13 16.02
GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2100 HMO ASSESSMENT NW3CMORTG.6/17 5/17/13 91.63
GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2100 HMO ASSESSMENT 2013FRAUD-8/13 6/27/13 91.36
GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2100 HMO ASSESSMENT MORTG.FRAUD617 7/5/13 14.35
GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2200 INSURANCE ASSESSMENT 2013INSFRAUD 2/27/13 403.86
GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2200 INSURANCE ASSESSMENT TRAVREIM-10/2 10/15/12 409.06
GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2200 INSURANCE ASSESSMENT 2013INS.-3/10 3/29/13 86.95
GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2200 INSURANCE ASSESSMENT NW3CMORTG.6/17 5/17/13 497.44
GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2200 INSURANCE ASSESSMENT 2013FRAUD-8/13 6/27/13 495.94
GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2200 INSURANCE ASSESSMENT MORTG.FRAUD617 7/5/13 77.90
GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2350 SECURITIES AND BANKING FUND 2013INSFRAUD 2/27/13 467.62
GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2350 SECURITIES AND BANKING FUND TRAVREIM-10/2 10/15/12 473.66
GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2350 SECURITIES AND BANKING FUND 2013INS.-3/10 3/29/13 100.67
GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2350 SECURITIES AND BANKING FUND NW3CMORTG.6/17 5/17/13 576.00
GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2350 SECURITIES AND BANKING FUND 2013FRAUD-8/13 6/27/13 574.24
GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2350 SECURITIES AND BANKING FUND MORTG.FRAUD617 7/5/13 90.19
GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2800 CAPTIVE INSURANCE 2013INSFRAUD 2/27/13 116.90
GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2800 CAPTIVE INSURANCE TRAVREIM-10/2 10/15/12 118.41
GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2800 CAPTIVE INSURANCE 2013INS.-3/10 3/29/13 25.17
GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2800 CAPTIVE INSURANCE NW3CMORTG.6/17 5/17/13 144.00
GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2800 CAPTIVE INSURANCE 2013FRAUD-8/13 6/27/13 143.56
GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2800 CAPTIVE INSURANCE MORTG.FRAUD617 7/5/13 22.55
GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2100 HMO ASSESSMENT 2013FRAUD-8/13 8/26/13 27.36
GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2200 INSURANCE ASSESSMENT 2013FRAUD-8/13 8/26/13 148.52
GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2350 SECURITIES AND BANKING FUND 2013FRAUD-8/13 8/26/13 171.98
GREGORY MARSILLO ASSISTANT DIRECTOR 4000 ENFORCEMENT PROGRAM 2800 CAPTIVE INSURANCE 2013FRAUD-8/13 8/26/13 42.99 5,578.08IFEANYICHUKWU EGBUNIWE PROGRAM MANAGER (SSBCI) 5000 BANKING 2350 SECURITIES AND BANKING FUND SSBCI-6/2-5/13 5/23/13 1,032.15
IFEANYICHUKWU EGBUNIWE PROGRAM MANAGER (SSBCI) 5000 BANKING 2350 SECURITIES AND BANKING FUND NDCECON.-8/4 7/31/13 1,497.15
IFEANYICHUKWU EGBUNIWE PROGRAM MANAGER (SSBCI) 5000 BANKING 2350 SECURITIES AND BANKING FUND NDCECON-8/4 9/3/13 105.95 2,635.25JAMES H. LAWRENCE, III FINANCIAL EXAMINER OFFICER 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICFIN.-5/28 5/23/13 248.50
JAMES H. LAWRENCE, III FINANCIAL EXAMINER OFFICER 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICFIN.-5/28 5/23/13 70.60 319.10
JAMES LAWRENCE FINANCIAL EXAMINER OFFICER 6000 RISK FINANCE 2800 CAPTIVE INSURANCE SOFE-7/20 6/7/13 1,360.70
JAMES LAWRENCE FINANCIAL EXAMINER OFFICER 6000 RISK FINANCE 2800 CAPTIVE INSURANCE 510-JLAWRENCE 5/29/13 530.00
JAMES LAWRENCE FINANCIAL EXAMINER OFFICER 6000 RISK FINANCE 2800 CAPTIVE INSURANCE TRAVREIM-SOFE 10/21/13 41.00
JAMES LAWRENCE-Travel Reimb FINANCIAL EXAMINER OFFICER 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 080913 (217.00) 1,714.70JAMES MCMANUS ASSISTANT DIRECTOR 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND TRAVADV.-1/27 1/17/13 960.20
JAMES MCMANUS ASSISTANT DIRECTOR 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND NASAASMAL-1/27 8/26/13 148.46
JAMES MCMANUS ASSISTANT DIRECTOR 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND NASAACONF-10/5 9/25/13 1,643.51
JAMES MCMANUS ASSISTANT DIRECTOR 8000 MARKET EXAMINATIONS 2350 SECURITIES AND BANKING FUND 2513-JMCMANUS 10/25/13 325.00
JAMES MCMANUS-Travel Reimb ASSISTANT DIRECTOR 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND 080913 (1,018.16) 2,059.01JANICE GORDON FINANCIAL EXAMINER INSURANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT SOFE-7/20-24 6/20/13 1,317.00
JANICE GORDON FINANCIAL EXAMINER INSURANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 553-JGORDON 7/2/13 530.00
JANICE GORDON FINANCIAL EXAMINER INSURANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT SOFE-7/20-24 8/21/13 46.75 1,893.75JUNIA TELAMOUR COMPLIANCE ANALYST 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND NASAABD-5/30 5/1/13 890.00
JUNIA TELAMOUR COMPLIANCE ANALYST 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND NASAABD-5/30 6/13/13 145.29
JUNIA TELAMOUR COMPLIANCE ANALYST 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND JTELAMOUR-2013 5/14/13 185.00
JUNIA TELAMOUR COMPLIANCE ANALYST 8000 MARKET EXAMINATIONS 2350 SECURITIES AND BANKING FUND NASACONF-10/5 9/25/13 2,019.66 3,239.95KAREN A. COLES INVESTIGATOR FRAUD 8000 MARKET EXAMINATIONS 2350 SECURITIES AND BANKING FUND NASAA-7/14 6/28/13 1,141.93
KAREN A. COLES INVESTIGATOR FRAUD 8000 MARKET EXAMINATIONS 2350 SECURITIES AND BANKING FUND NASAA-7/14REIM 8/1/13 84.00 1,225.93
KATHRYN HARTIG PUBLIC INFORMATION OFFICER 1000 AGENCY MANANGEMENT PROGRAM 2100 HMO ASSESSMENT TRAVREIM-10/16 11/30/12 40.00
KATHRYN HARTIG PUBLIC INFORMATION OFFICER 1000 AGENCY MANANGEMENT PROGRAM 2100 HMO ASSESSMENT TRAVADV.-10/16 10/15/12 6.40
Appendix 5
Employee/Vendor Name Job Title Program
Code
Program Title Agy
Fund
Agy Fund Title Description Travel Date Trans Amt Total by
Empl/Vendor
KATHRYN HARTIG PUBLIC INFORMATION OFFICER 1000 AGENCY MANANGEMENT PROGRAM 2200 INSURANCE ASSESSMENT TRAVADV.-10/16 10/15/12 34.77
KATHRYN HARTIG PUBLIC INFORMATION OFFICER 1000 AGENCY MANANGEMENT PROGRAM 2350 SECURITIES AND BANKING FUND TRAVADV.-10/16 10/15/12 40.26
KATHRYN HARTIG PUBLIC INFORMATION OFFICER 1000 AGENCY MANANGEMENT PROGRAM 2800 CAPTIVE INSURANCE TRAVADV.-10/16 10/15/12 10.07
KATHRYN HARTIG PUBLIC INFORMATION OFFICER 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAIC-9/24 8/26/13 91.50 223.00KIMBERLY HOLDEN FINANCIAL EXAMINER INSURANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICFIN.-5/29 5/17/13 1,199.13
KIMBERLY HOLDEN FINANCIAL EXAMINER INSURANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICFINAN-5/29 6/13/13 171.74
KIMBERLY HOLDEN-Travel Reimb FINANCIAL EXAMINER INSURANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 080213 (1,122.26) 248.61LEE BACKUS DIRECTOR COMPLIANCE ANALYSIS 8000 MARKET EXAMINATIONS 2200 INSURANCE ASSESSMENT NAIC-4/5-9 3/27/13 1,520.28
LEE BACKUS DIRECTOR COMPLIANCE ANALYSIS 8000 MARKET EXAMINATIONS 2200 INSURANCE ASSESSMENT NAICSPRING-4/5 4/29/13 254.78
LEE BACKUS DIRECTOR COMPLIANCE ANALYSIS 8000 MARKET EXAMINATIONS 2100 HMO ASSESSMENT TRAVREIM-10/15 12/28/12 174.77
LEE BACKUS DIRECTOR COMPLIANCE ANALYSIS 8000 MARKET EXAMINATIONS 2100 HMO ASSESSMENT TRAVADV-10/15 10/15/12 55.14
LEE BACKUS DIRECTOR COMPLIANCE ANALYSIS 8000 MARKET EXAMINATIONS 2100 HMO ASSESSMENT NACCA-6/11 5/17/13 130.17
LEE BACKUS DIRECTOR COMPLIANCE ANALYSIS 8000 MARKET EXAMINATIONS 2100 HMO ASSESSMENT NACCA-6/11REIM 7/12/13 18.51
LEE BACKUS DIRECTOR COMPLIANCE ANALYSIS 8000 MARKET EXAMINATIONS 2200 INSURANCE ASSESSMENT TRAVADV-10/15 10/15/12 299.32
LEE BACKUS DIRECTOR COMPLIANCE ANALYSIS 8000 MARKET EXAMINATIONS 2200 INSURANCE ASSESSMENT NACCA-6/11 5/17/13 706.66
LEE BACKUS DIRECTOR COMPLIANCE ANALYSIS 8000 MARKET EXAMINATIONS 2200 INSURANCE ASSESSMENT NACCA-6/11REIM 7/12/13 100.46
LEE BACKUS DIRECTOR COMPLIANCE ANALYSIS 8000 MARKET EXAMINATIONS 2350 SECURITIES AND BANKING FUND TRAVADV-10/15 10/15/12 346.58
LEE BACKUS DIRECTOR COMPLIANCE ANALYSIS 8000 MARKET EXAMINATIONS 2350 SECURITIES AND BANKING FUND NACCA-6/11 5/17/13 818.23
LEE BACKUS DIRECTOR COMPLIANCE ANALYSIS 8000 MARKET EXAMINATIONS 2350 SECURITIES AND BANKING FUND NACCA-6/11REIM 7/12/13 116.33
LEE BACKUS DIRECTOR COMPLIANCE ANALYSIS 8000 MARKET EXAMINATIONS 2800 CAPTIVE INSURANCE TRAVADV-10/15 10/15/12 86.65
LEE BACKUS DIRECTOR COMPLIANCE ANALYSIS 8000 MARKET EXAMINATIONS 2800 CAPTIVE INSURANCE NACCA-6/11 5/17/13 204.56
LEE BACKUS DIRECTOR COMPLIANCE ANALYSIS 8000 MARKET EXAMINATIONS 2800 CAPTIVE INSURANCE NACCA-6/11REIM 7/12/13 29.08
LEE BACKUS DIRECTOR COMPLIANCE ANALYSIS 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICSUMM-8/23 8/14/13 1,477.54
LEE BACKUS DIRECTOR COMPLIANCE ANALYSIS 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICSUM-8/23 9/13/13 150.96
LEE BACKUS-Travel Reimb DIRECTOR COMPLIANCE ANALYSIS 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 092713 (1,368.10)
LEAH BUCKUS- Travel Reimb DIRECTOR COMPLIANCE ANALYSIS 8000 MARKET EXAMINATIONS 2200 INSURANCE ASSESSMENT 013113 (778.93) 4,342.99
LILAH BLACKSTONE ASSISTANT ATTORNEY GENERAL 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND MIDATL.-6/4-6 5/23/13 550.65
LILAH BLACKSTONE ASSISTANT ATTORNEY GENERAL 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND MIDATL.-6/4/13 6/21/13 29.99 580.64
M. MATHIS-Travel Reimbursement OPERATIONS SUPPORT MANAGER 1000 AGENCY MANANGEMENT PROGRAM 2100 HMO ASSESSMENT 011813 (4.79)
M. MATHIS-Travel Reimbursement OPERATIONS SUPPORT MANAGER 1000 AGENCY MANANGEMENT PROGRAM 2200 INSURANCE ASSESSMENT 011813 (26.00)
M. MATHIS-Travel Reimbursement OPERATIONS SUPPORT MANAGER 1000 AGENCY MANANGEMENT PROGRAM 2350 SECURITIES AND BANKING FUND 011813 (30.11)
M. MATHIS-Travel Reimbursement OPERATIONS SUPPORT MANAGER 1000 AGENCY MANANGEMENT PROGRAM 2800 CAPTIVE INSURANCE 011813 (7.53) (68.43)
MARGARET SCHRUENDER DEPUTY COMMISSIONER FOR MARKET COMPLIANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAIC-4/6-9 3/27/13 1,728.28
MARGARET SCHRUENDER DEPUTY COMMISSIONER FOR MARKET COMPLIANCE 8000 MARKET EXAMINATIONS 2100 HMO ASSESSMENT NCCI-5/15 4/12/13 54.29
MARGARET SCHRUENDER DEPUTY COMMISSIONER FOR MARKET COMPLIANCE 8000 MARKET EXAMINATIONS 2100 HMO ASSESSMENT CAPT.DAY-3/23 4/12/13 11.20
MARGARET SCHRUENDER DEPUTY COMMISSIONER FOR MARKET COMPLIANCE 8000 MARKET EXAMINATIONS 2200 INSURANCE ASSESSMENT NCCI-5/15 4/12/13 294.71
MARGARET SCHRUENDER DEPUTY COMMISSIONER FOR MARKET COMPLIANCE 8000 MARKET EXAMINATIONS 2200 INSURANCE ASSESSMENT CAPT.DAY-3/23 4/12/13 60.80
MARGARET SCHRUENDER DEPUTY COMMISSIONER FOR MARKET COMPLIANCE 8000 MARKET EXAMINATIONS 2200 INSURANCE ASSESSMENT IRES-7/28 6/20/13 1,244.26
MARGARET SCHRUENDER DEPUTY COMMISSIONER FOR MARKET COMPLIANCE 8000 MARKET EXAMINATIONS 2200 INSURANCE ASSESSMENT NAICNEZONE-617 7/5/13 473.08
MARGARET SCHRUENDER DEPUTY COMMISSIONER FOR MARKET COMPLIANCE 8000 MARKET EXAMINATIONS 2350 SECURITIES AND BANKING FUND NCCI-5/15 4/12/13 85.31
MARGARET SCHRUENDER DEPUTY COMMISSIONER FOR MARKET COMPLIANCE 8000 MARKET EXAMINATIONS 2350 SECURITIES AND BANKING FUND CAPT.DAY-3/23 4/12/13 17.60
MARGARET SCHRUENDER DEPUTY COMMISSIONER FOR MARKET COMPLIANCE 8000 MARKET EXAMINATIONS 2800 CAPTIVE INSURANCE NCCI-5/15 4/12/13 341.25
MARGARET SCHRUENDER DEPUTY COMMISSIONER FOR MARKET COMPLIANCE 8000 MARKET EXAMINATIONS 2800 CAPTIVE INSURANCE CAPT.DAY-3/23 4/12/13 70.40
MARGARET SCHRUENDER DEPUTY COMMISSIONER FOR MARKET COMPLIANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICSUMM-8/23 8/14/13 1,463.54
MARGARET SCHRUENDER DEPUTY COMMISSIONER FOR MARKET COMPLIANCE 8000 MARKET EXAMINATIONS 2350 SECURITIES AND BANKING FUND 2013SILA-9/22 8/26/13 1,482.84
MARGARET SCHRUENDER-Travel Reimb DEPUTY COMMISSIONER FOR MARKET COMPLIANCE 8000 MARKET EXAMINATIONS 2200 INSURANCE ASSESSMENT 090613 (1,044.26)
MARGARET SCHRUENDER-Travel Reimb DEPUTY COMMISSIONER FOR MARKET COMPLIANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 091313 (172.27)
MARGARET SCHRUENDER-Travel Reimb DEPUTY COMMISSIONER FOR MARKET COMPLIANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 092713 (1,078.73)
MARGARET SCHRUENDER-Travel Reimb DEPUTY COMMISSIONER FOR MARKET COMPLIANCE 8000 MARKET EXAMINATIONS 2350 SECURITIES AND BANKING FUND 093013 (248.01)
MARGARET SCHRUENDER-Travel Reimb DEPUTY COMMISSIONER FOR MARKET COMPLIANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 042613 (168.60)
MARGARET SCHRUENDER-Travel Reimb DEPUTY COMMISSIONER FOR MARKET COMPLIANCE 8000 MARKET EXAMINATIONS 2800 CAPTIVE INSURANCE 061413 (775.56) 3,840.13
MICHAEL FLAGG COMMUNICATIONS DIRECTOR 1000 AGENCY MANANGEMENT PROGRAM 2200 INSURANCE ASSESSMENT NAICSUM-9/23 8/14/13 1,252.90 1,252.90
Appendix 5
Employee/Vendor Name Job Title Program
Code
Program Title Agy
Fund
Agy Fund Title Description Travel Date Trans Amt Total by
Empl/Vendor
MARK WELLS MARKET SERVICES MANAGER 5000 BANKING 2350 SECURITIES AND BANKING FUND CHICAGO-3/12 3/6/13 341.80 341.80
MARTIN-Travel Reimbursement SECURITIES LICENSING SPECIALIST 5000 SECURITIES AND BANKING 2800 SECURITIES AND BANKING FUND 100512 (78.74) (78.74)
MONICA DYSON ACTUARY 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NCCI-2/5-8/13 3/11/13 393.03
MONICA DYSON ACTUARY 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT TRAVADV.-5/14 4/29/13 1,242.01
MONICA DYSON ACTUARY 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NCCI-5/14 7/12/13 135.93 1,770.97
MONIQUE BONHOM BANKING EXAMINER 5000 BANKING 2350 SECURITIES AND BANKING FUND AARMR-4/28 4/4/13 1,307.65
MONIQUE BONHOM BANKING EXAMINER 5000 BANKING 2350 SECURITIES AND BANKING FUND AARMR-4/28 5/17/13 3.25
MONIQUE BONHOM BANKING EXAMINER 5000 BANKING 2350 SECURITIES AND BANKING FUND 54242034-BONIH 4/9/13 945.00 2,255.90
NATHANIEL BROWN SUPERVISORY INSURANCE OPERATIONS EXAMINER AUDIT 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAIC-4/5-9 3/27/13 1,264.46
NATHANIEL BROWN SUPERVISORY INSURANCE OPERATIONS EXAMINER AUDIT 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICSPRING-4/5 4/29/13 105.20
NATHANIEL BROWN SUPERVISORY INSURANCE OPERATIONS EXAMINER AUDIT 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT SOFE-7/20-24 6/20/13 1,268.60
NATHANIEL BROWN SUPERVISORY INSURANCE OPERATIONS EXAMINER AUDIT 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 502-NBROWN 7/2/13 530.00 3,168.26
NATHANIEL BROWN SUPERVISORY INSURANCE OPERATIONS EXAMINER AUDIT 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICSUM.-8/23 8/14/13 1,012.15
NATHANIEL BROWN SUPERVISORY INSURANCE OPERATIONS EXAMINER AUDIT 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT SOFE-7/20-24 8/21/13 178.00
NATHANIEL BROWN SUPERVISORY INSURANCE OPERATIONS EXAMINER AUDIT 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT SOFE-9/4 8/26/13 341.03
NATHANIEL BROWN SUPERVISORY INSURANCE OPERATIONS EXAMINER AUDIT 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICSUMM-8/23 10/1/13 69.10
NATHANIEL BROWN SUPERVISROY INSURANCE OPERATIONS EXAMINER AUDIT 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT SOFE-9/4REIM 10/21/13 25.76 1,626.04
NIC-Travel Reimbursement 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 051713 (7,277.98)
NIC-Travel Reimbursement 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 100512 (9,534.25) (16,812.23)
P. SEAN O'DONNELL SUPERVISORY FINANCIAL EXAMINER 6000 RISK FINANCE 2200 INSURANCE ASSESSMENT NAICFIN-5/29 5/10/13 1,115.73
P. SEAN O'DONNELL SUPERVISORY FINANCIAL EXAMINER 6000 RISK FINANCE 2200 INSURANCE ASSESSMENT NAICFINAN-5/29 6/13/13 34.01
P. SEAN O'DONNELL SUPERVISORY FINANCIAL EXAMINER 6000 RISK FINANCE 2800 CAPTIVE INSURANCE 511-PSODONNELL 5/29/13 530.00
PATRICK O'DONNELL SUPERVISORY FINANCIAL EXAMINER 6000 RISK FINANCE 2800 CAPTIVE INSURANCE SOFE-7/20/13 6/7/13 1,069.80
PATRICK O'DONNELL SUPERVISORY FINANCIAL EXAMINER 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICSUMM-8/23 8/14/13 1,033.25
PATRICK O'DONNELL SUPERVISORY FINANCIAL EXAMINER 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICSUMM-8/23 9/13/13 56.00
PATRICK O'DONNELL-Travel Reimb SUPERVISORY FINANCIAL EXAMINER 6000 RISK FINANCE 2800 CAPTIVE INSURANCE 032213 (107.09) 3,731.70
PHILIP BARLOW ASSOCIATE COMMISSIONER FOR INSURANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT TRAVREIM-10/14 10/29/12 223.60
PHILIP BARLOW ASSOCIATE COMMISSIONER FOR INSURANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT TRAVADV-11/13 11/2/12 994.82
PHILIP BARLOW ASSOCIATE COMMISSIONER FOR INSURANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAIC-4/5-8 3/27/13 1,231.66
PHILIP BARLOW ASSOCIATE COMMISSIONER FOR INSURANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICTASK-4/30 4/12/13 983.40
PHILIP BARLOW ASSOCIATE COMMISSIONER FOR INSURANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAIC-4/5-REIM 4/19/13 131.55
PHILIP BARLOW ASSOCIATE COMMISSIONER FOR INSURANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICTASK-4/30 5/17/13 84.56
PHILIP BARLOW ASSOCIATE COMMISSIONER FOR INSURANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT TRAVADV-11/13 11/13 (994.82)
PHILIP BARLOW ASSOCIATE COMMISSIONER FOR INSURANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICSUM-8/23 8/14/13 904.12
PHILIP BARLOW ASSOCIATE COMMISSIONER FOR INSURANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICSUM-8/23 9/3/13 155.84
PHILIP BARLOW- Travel Reimb ASSOCIATE COMMISSIONER FOR INSURANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 092013 (910.92)
PHILIP BARLOW-Travel Reimb ASSOCIATE COMMISISONER FOR INSURANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 060713 (890.46) 1,913.35
ROBERT NKOJO ACTUARY MANAGER 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICSPRING-4/5 4/24/13 1,332.26
ROBERT NKOJO ACTUARY MANAGER 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT TRAVADV.-5/14 4/29/13 1,242.01
ROBERT NKOJO ACTUARY MANAGER 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICSUM-8/23 8/14/13 903.92
ROBERT NKOJO ACTUARY MANAGER 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICSUM-8/23 9/24/13 92.50
ROBERT NKOJO-Travel Reimb ACTUARY MANAGER 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 061413 (1,460.08) 2,110.61
SAMUEL FULLER BANKING EXAMINER 5000 BANKING 2350 SECURITIES AND BANKING FUND 14529-FULLER 6/7/13 325.00
SAMUEL FULLER BANKING EXAMINER 5000 BANKING 2350 SECURITIES AND BANKING FUND TRAVADVN-1/27 1/17/13 2,840.10
SAMUEL FULLER BANKING EXAMINER 5000 BANKING 2350 SECURITIES AND BANKING FUND CSBSCONF-1/27 2/13/13 217.25 3,382.35
SAMUEL MERLO FINANCIAL EXAMINER INSURANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT SOFE-7/20-24 6/20/13 1,798.60
SAMUEL MERLO FINANCIAL EXAMINER INSURANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT SOFE-9/4 8/26/13 270.51
SAMUEL MERLO FINANCIAL EXAMINER INSURANCE 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT SOFE-7/20 9/13/13 131.27 2,200.38SEAN O'DONNELL SUPERVISORY FINANCIAL EXAMINER 6000 RISK FINANCE 2200 INSURANCE ASSESSMENT NAIC-4/5-8/13 3/27/13 1,291.46
SEAN O'DONNELL SUPERVISORY FINANCIAL EXAMINER 6000 RISK FINANCE 2200 INSURANCE ASSESSMENT NAICSPRING-4/5 4/29/13 70.00
Appendix 5
Employee/Vendor Name Job Title Program
Code
Program Title Agy
Fund
Agy Fund Title Description Travel Date Trans Amt Total by
Empl/Vendor
SEAN O'DONNELL SUPERVISORY FINANCIAL EXAMINER 6000 RISK FINANCE 2800 CAPTIVE INSURANCE TRAVADV.-1/28 1/17/13 1,297.20
SEAN O'DONNELL SUPERVISORY FINANCIAL EXAMINER 6000 RISK FINANCE 2800 CAPTIVE INSURANCE CAPT.CONF.3/10 2/13/13 1,858.68
SEAN O'DONNELL SUPERVISORY FINANCIAL EXAMINER 6000 RISK FINANCE 2800 CAPTIVE INSURANCE WLDCAPT.1/28 2/13/13 147.96
SEAN O'CONNEL-Travel Reimb SUPERVISORY FINANCIAL EXAMINER 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 080913 (901.24)
SEAN O'CONNEL-Travel Reimb SUPERVISORY FINANCIAL EXAMINER 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 092713 (925.67) 2,838.39SENAYET MEAZA DIRECTOR MARKET EXAMINATIONS 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND SMEAZA-TCROSS 3/25/13 2,985.00
SENAYET MEAZA DIRECTOR MARKET EXAMINATIONS 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND ACFE-6/22 4/11/13 3,264.70
SENAYET MEAZA DIRECTOR MARKET EXAMINATIONS 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND BDAGENT-5/30 4/29/13 845.80
SENAYET MEAZA DIRECTOR MARKET EXAMINATIONS 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND NASAA-5/30 6/13/13 149.30
SENAYET MEAZA DIRECTOR MARKET EXAMINATIONS 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND NASAA-7/14 6/20/13 902.80
SENAYET MEAZA DIRECTOR MARKET EXAMINATIONS 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND ACFE-6/22-REIM 7/12/13 46.60
SENAYET MEAZA DIRECTOR MARKET EXAMINATIONS 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND NASAA-7/14REIM 8/1/13 89.74
SENAYET MEAZA DIRECTOR MARKET EXAMINATIONS 8000 MARKET EXAMINATIONS 2350 SECURITIES AND BANKING FUND NASAACONF-9/24 9/25/13 2,048.76
SENAYET MEAZA- Travel Reimb DIRECTOR MARKET EXAMINATIONS 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND 061413 (866.60) 9,466.10
SHARON SHIPP CONSUMER SERVICES SPECIALIST 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAIC-4/5-9 3/27/13 1,520.28
SHARON SHIPP CONSUMER SERVICES SPECIALIST 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICSPRING-4/5 4/29/13 138.80
SHARON SHIPP CONSUMER SERVICES SPECIALIST 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICSUM-8/23 8/14/13 1,553.05
SHARON SHIPP CONSUMER SERVICES SPECIALIST 8000 MARKET EXAMINATIONS 2350 SECURITIES AND BANKING FUND SILA-9/21 8/26/13 1,675.39
SHARON SHIPP CONSUMER SERVICES SPECIALIST 8000 MARKET EXAMINATIONS 2350 SECURITIES AND BANKING FUND SILA-9/21REIM 10/16/13 67.99
SHARON SHIPP-Travel Reimb CONSUMER SERVICES SPECIALIST 8000 MARKET EXAMINATIONS 2350 SECURITIES AND BANKING FUND 093013 (11.51) 4,944.00SIMONE MANIGO-TRUELL DOSSANTOS ASSISTANT ATTORNEY GENERAL 5000 BANKING 2350 SECURITIES AND BANKING FUND CSBSCONF-7/30 6/28/13 1,057.56
SIMONE MANIGO-TRUELL DOSSANTOS ASSISTANT ATTORNEY GENERAL 5000 BANKING 2350 SECURITIES AND BANKING FUND 15170 7/3/13 1,790.00
SIMONE MANIGO-TRUELL DOSSANTOS ASSISTANT ATTORNEY GENERAL 5000 BANKING 2350 SECURITIES AND BANKING FUND CSBSCONF-7/30 8/21/13 111.00 2,958.56STEPHEN PERRY ASSOCIATE COMMISSIONER FOR ENFORCEMENT 4000 ENFORCEMENT PROGRAM 2200 INSURANCE ASSESSMENT NAIC-4/6-9 3/27/13 1,221.66
STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 4000 ENFORCEMENT PROGRAM 2350 SECURITIES AND BANKING FUND MIDATLAN-6/5 5/23/13 326.82
STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 4000 ENFORCEMENT PROGRAM 2350 SECURITIES AND BANKING FUND SECENF.-6/5 6/21/13 53.84
STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 4000 ENFORCEMENT PROGRAM 2100 HMO ASSESSMENT 2013INSFRAUD 2/27/13 73.64
STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 4000 ENFORCEMENT PROGRAM 2100 HMO ASSESSMENT TRAVREIM-10/2 10/15/12 82.33
STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 4000 ENFORCEMENT PROGRAM 2100 HMO ASSESSMENT INSFRAUD-3/10 3/29/13 2.25
STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 4000 ENFORCEMENT PROGRAM 2100 HMO ASSESSMENT 2013FRAUD-8/13 6/27/13 99.83
STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 4000 ENFORCEMENT PROGRAM 2200 INSURANCE ASSESSMENT 2013INSFRAUD 2/27/13 399.75
STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 4000 ENFORCEMENT PROGRAM 2200 INSURANCE ASSESSMENT TRAVREIM-10/2 10/15/12 446.91
STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 4000 ENFORCEMENT PROGRAM 2200 INSURANCE ASSESSMENT INSFRAUD-3/10 3/29/13 12.24
STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 4000 ENFORCEMENT PROGRAM 2200 INSURANCE ASSESSMENT 2013FRAUD-8/13 6/27/13 541.92
STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 4000 ENFORCEMENT PROGRAM 2350 SECURITIES AND BANKING FUND 2013INSFRAUD 2/27/13 462.87
STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 4000 ENFORCEMENT PROGRAM 2350 SECURITIES AND BANKING FUND TRAVREIM-10/2 10/15/12 517.47
STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 4000 ENFORCEMENT PROGRAM 2350 SECURITIES AND BANKING FUND INSFRAUD-3/10 3/29/13 14.18
STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 4000 ENFORCEMENT PROGRAM 2350 SECURITIES AND BANKING FUND 2013FRAUD-8/13 6/27/13 627.48
STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 4000 ENFORCEMENT PROGRAM 2800 CAPTIVE INSURANCE 2013INSFRAUD 2/27/13 115.72
STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 4000 ENFORCEMENT PROGRAM 2800 CAPTIVE INSURANCE TRAVREIM-10/2 10/15/12 129.37
STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 4000 ENFORCEMENT PROGRAM 2800 CAPTIVE INSURANCE INSFRAUD-3/10 3/29/13 3.54
STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 4000 ENFORCEMENT PROGRAM 2800 CAPTIVE INSURANCE 2013FRAUD-8/13 6/27/13 156.87
STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 4000 ENFORCEMENT PROGRAM 2200 INSURANCE ASSESSMENT IRES-7/27-30 6/20/13 1,064.37
STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICSUMM-8/23 8/14/13 1,078.76
STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 8000 MARKET EXAMINATIONS 2200 INSURANCE ASSESSMENT IRES-7/27-30 8/21/13 106.41
STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 4000 ENFORCEMENT PROGRAM 2100 HMO ASSESSMENT 2013FRAUD-8/13 8/26/13 3.78
STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 4000 ENFORCEMENT PROGRAM 2200 INSURANCE ASSESSMENT 2013FRAUD-8/13 8/26/13 20.54
STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 4000 ENFORCEMENT PROGRAM 2350 SECURITIES AND BANKING FUND 2013FRAUD-8/13 8/26/13 23.78
STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 4000 ENFORCEMENT PROGRAM 2800 CAPTIVE INSURANCE 2013FRAUD-8/13 8/26/13 5.95
STEPHEN PERRY ASSOCIATE COMMISISIONER FOR ENFORCEMENT 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 8/24-26NAICSUM 9/13/13 98.55
STEPHEN PERRY-Travel Reimb ASSOCIATE COMMISSIONER FOR ENFORCEMENT 4000 ENFORCEMENT PROGRAM 2200 INSURANCE ASSESSMENT 042613 (97.37) 7,593.46
STEPHANIE SCHMELZ ASSISTANT ATTORNEY GENERAL 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT CHARHEALTH8.27 8/21/13 678.77
STEPHANIE SCHMELZ ASSISTANT ATTORNEY GENERAL 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT CHARHEALT8.27 9/24/13 151.40 830.17
Appendix 5
Employee/Vendor Name Job Title Program
Code
Program Title Agy
Fund
Agy Fund Title Description Travel Date Trans Amt Total by
Empl/Vendor
SYBONGILE COOK PROGRAM MANAGER (ECON. DEVELOPMENT) 5000 BANKING 2350 SECURITIES AND BANKING FUND UNDERBANK-6/5 5/23/13 857.34 857.34
TAMMIE BARRETT BANKING EXAMINER 5000 BANKING 2350 SECURITIES AND BANKING FUND AARMR-4/28 4/4/13 1,262.87
TAMMIE BARRETT BANKING EXAMINER 5000 BANKING 2350 SECURITIES AND BANKING FUND 54242064-BARRE 4/9/13 945.00
TAMMIE BARRETT-Travel Reimbursement BANKING EXAMINER 5000 BANKING 2350 SECURITIES AND BANKING FUND 062113 (89.39) 2,118.48
THEODORE CROSS SECURITIES FINANCIAL EXAMINER 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND NASAAINV-8/11 7/31/13 961.13
THEODORE CROSS SECURITIES FINANCIAL EXAMINER 8000 MARKET EXAMINATIONS 2350 SECURITIES AND BANKING FUND NASAAINV-8/11 9/13/13 438.05
THEODORE CROSS-Travel Reimb SECURITIES FINANCIAL EXAMINER 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND 083013 (1,232.40) 166.78THEODORE MILES DIRECTOR OF SECURITIES 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND MIDATLAN-6/5 5/23/13 366.82
THEODORE MILES DIRECTOR OF SECURITIES 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND MIDATLAN-6/5 9/13/13 94.00
THEODORE MILES DIRECTOR OF SECURITIES 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND NASAACONF-10/5 9/25/13 1,717.56
THEODORE MILES-Travel Reimb DIRECTOR OF SECURITIES 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND 042613 (1,623.48) 554.90
THOMAS GLASSIC GENERAL COUNSEL 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT TRAVREIM-NAIC 11/20/12 392.50
THOMAS GLASSIC GENERAL COUNSEL 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT TRAVREIM-BERM. 11/20/12 100.50
THOMAS GLASSIC GENERAL COUNSEL 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT TRAVREIM-NASAA 11/20/12 147.66
THOMAS GLASSIC GENERAL COUNSEL 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT TRAVREIM-BASEL 11/30/12 437.50
THOMAS GLASSIC GENERAL COUNSEL 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAIC 4/6-9 3/27/13 1,520.28
THOMAS GLASSIC GENERAL COUNSEL 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 4/10-13-IAIS 4/4/13 694.95
THOMAS GLASSIC GENERAL COUNSEL 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICREIM-4/6-9 7/29/13 63.00
THOMAS GLASSIC GENERAL COUNSEL 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT IAISREIM-4/10 7/29/13 48.96
THOMAS GLASSIC-Travel Reimbursement GENERAL COUNSEL 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 121412 (463.98) 2,941.37
TIWANA HICKS BANKING LICENSING MANAGER 5000 BANKING 2350 SECURITIES AND BANKING FUND NMLS CONF-2/26 3/18/13 1,380.37
TIWANA HICKS BANKING LICENSING MANAGER 5000 BANKING 2350 SECURITIES AND BANKING FUND NACCA-6/10 5/24/13 1,228.12
TIWANA HICKS BANKING LICENSING MANAGER 5000 BANKING 2350 SECURITIES AND BANKING FUND NACCA-6/10 7/5/13 353.43
TIWANA HICKS BANKING LICENSING MANAGER 5000 BANKING 2350 SECURITIES AND BANKING FUND MTRA2013-9/25 9/18/13 1,827.37 4,789.29WARREN HOCHBAUM SUPERVISORY BANK EXAMINER 5000 BANKING 2350 SECURITIES AND BANKING FUND 14532-HOCHBAUM 6/7/13 325.00
WARREN HOCHBAUM SUPERVISORY BANK EXAMINER 5000 BANKING 2350 SECURITIES AND BANKING FUND AARMR-4/28 4/4/13 1,275.85
WARREN HOCHBAUM SUPERVISORY BANK EXAMINER 5000 BANKING 2350 SECURITIES AND BANKING FUND AARMR-4/28 5/17/13 177.05
WARREN HOCHBAUM SUPERVISORY BANK EXAMINER 5000 BANKING 2350 SECURITIES AND BANKING FUND IIB-NEWYORK 2/14/13 499.96
WARREN HOCHBAUM SUPERVISORY BANK EXAMINER 5000 BANKING 2350 SECURITIES AND BANKING FUND NACCA-6/10 5/24/13 1,228.12
WARREN HOCHBAUM SUPERVISORY BANK EXAMINER 5000 BANKING 2350 SECURITIES AND BANKING FUND NACCA-6/10 7/5/13 344.92
WARREN HOCHBAUM SUPERVISORY BANK EXAMINER 5000 BANKING 2350 SECURITIES AND BANKING FUND K8NFYS74BV3 12/7/12 995.00 4,845.90
WILLIAM WHITE COMMISSIONER 1000 AGENCY MANANGEMENT PROGRAM 2100 HMO ASSESSMENT TRAVADV-BASEL 1/22/13 37.80
WILLIAM WHITE COMMISSIONER 1000 AGENCY MANANGEMENT PROGRAM 2100 HMO ASSESSMENT IAIS,NO-1/13 3/4/13 55.64
WILLIAM WHITE COMMISSIONER 1000 AGENCY MANANGEMENT PROGRAM 2200 INSURANCE ASSESSMENT TRAVADV-BASEL 1/22/13 205.20
WILLIAM WHITE COMMISSIONER 1000 AGENCY MANANGEMENT PROGRAM 2200 INSURANCE ASSESSMENT IAIS,NO-1/13 3/4/13 302.04
WILLIAM WHITE COMMISSIONER 1000 AGENCY MANANGEMENT PROGRAM 2200 INSURANCE ASSESSMENT IAIS,BASEL2/23 3/22/13 515.10
WILLIAM WHITE COMMISSIONER 1000 AGENCY MANANGEMENT PROGRAM 2200 INSURANCE ASSESSMENT IAIS,BASEL2/23 3/22/13 149.11
WILLIAM WHITE COMMISSIONER 1000 AGENCY MANANGEMENT PROGRAM 2200 INSURANCE ASSESSMENT IAIS,BASEL2/23 3/22/13 94.89
WILLIAM WHITE COMMISSIONER 1000 AGENCY MANANGEMENT PROGRAM 2200 INSURANCE ASSESSMENT NAICJOINT-6/10 5/30/13 315.00
WILLIAM WHITE COMMISSIONER 1000 AGENCY MANANGEMENT PROGRAM 2200 INSURANCE ASSESSMENT NAICIAIS-6/14 5/30/13 810.00
WILLIAM WHITE COMMISSIONER 1000 AGENCY MANANGEMENT PROGRAM 2200 INSURANCE ASSESSMENT ASEAN-OIC-7/19 7/5/13 535.50
WILLIAM WHITE COMMISSIONER 1000 AGENCY MANANGEMENT PROGRAM 2200 INSURANCE ASSESSMENT ASEAN/OIC-7/13 7/5/13 566.50
WILLIAM WHITE COMMISSIONER 1000 AGENCY MANANGEMENT PROGRAM 2350 SECURITIES AND BANKING FUND TRAVADV-BASEL 1/22/13 237.60
WILLIAM WHITE COMMISSIONER 1000 AGENCY MANANGEMENT PROGRAM 2350 SECURITIES AND BANKING FUND IAIS,NO-1/13 3/4/13 349.73
WILLIAM WHITE COMMISSIONER 1000 AGENCY MANANGEMENT PROGRAM 2350 SECURITIES AND BANKING FUND IAIS,BASEL2/23 3/22/13 596.41
WILLIAM WHITE COMMISSIONER 1000 AGENCY MANANGEMENT PROGRAM 2800 CAPTIVE INSURANCE TRAVADV-BASEL 1/22/13 59.40
WILLIAM WHITE COMMISSIONER 1000 AGENCY MANANGEMENT PROGRAM 2800 CAPTIVE INSURANCE IAIS,NO-1/13 3/4/13 87.43
WILLIAM WHITE COMMISSIONER 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAIC-4/6-9 3/27/13 248.50
WILLIAM WHITE COMMISSIONER 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 4/17-22-IAIS 4/4/13 405.00
WILLIAM WHITE COMMISSIONER 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICSPRING-4/6 5/17/13 97.40
WILLIAM WHITE COMMISSIONER 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT NAICIAIS-4/16 6/13/13 397.42 6,065.67
Appendix 5
Employee/Vendor Name Job Title Program
Code
Program Title Agy
Fund
Agy Fund Title Description Travel Date Trans Amt Total by
Empl/Vendor
XIANGCHUN LI FINANCIAL EXAMINER & ANALYST 6000 RISK FINANCE 2200 INSURANCE ASSESSMENT NAICFIN.-5/29 5/17/13 1,180.93
XIANGCHUN LI FINANCIAL EXAMINER & ANALYST 6000 RISK FINANCE 2200 INSURANCE ASSESSMENT NAICFINAN-5/29 6/13/13 45.42
XIANGCHUN LI FINANCIAL EXAMINER & ANALYST 6000 RISK FINANCE 2800 CAPTIVE INSURANCE SOFE,7/20/13 6/7/13 1,277.70
XIANGCHUN LI FINANCIAL EXAMINER & ANALYST 6000 RISK FINANCE 2800 CAPTIVE INSURANCE SOFE-7/20 8/20/13 113.82
XIANGCHUN LI-Travel Reimb FINANCIAL EXAMINER & ANALYST 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 080213 (991.67)
XIANGCHUN LI FINANCIAL EXAMINER & ANALYST 6000 RISK FINANCE 2800 CAPTIVE INSURANCE 512-XIANGCHUNL 5/29/13 530.00 2,156.20
161,426.60 161,426.60
Appendix 5
Employee/Vendor Name Job Title Program Code Program Title Agy Fund Agy Fund Title Description Travel Date Trans Amt Total by
EmployeeCHERYL OWENS COMPLIANCE ANALYST 8000 MARKET EXAMINATIONS 2350 SECURITIES AND BANKING FUND TRAVREIM-SILA 12/4/13 71.00 71.00CHESTER MCPHERSON DEPUTY COMMISSIONER FOR MARKET
OPERATIONS*
3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND CSBS-10/2 (571.96)
CHESTER MCPHERSON DEPUTY COMMISSIONER FOR MARKET OPERATIONS 5000 BANKING 2350 SECURITIES AND BANKING FUND 1236504-AARMR 12/23/13 875.00 303.04
CHRISTOPHER WEAVER ASSOCIATE COMMISSIONER FOR BANKING 5000 BANKING 2350 SECURITIES AND BANKING FUND CSBSDIST1-1028 12/19/13 986.00
CHRIS WEAVER ASSOCIATE COMMISSIONER FOR BANKING 5000 BANKING 2350 SECURITIES AND BANKING FUND #15831-WEAVER 12/10/13 250.00 1,236.00DANA SHEPPARD ASSOCIATE COMMISSIONER FOR RISK FINANCE** 6000 RISK FINANCE 2800 CAPTIVE INSURANCE WORLDCAPT-1/29 1/13/14 1,150.17 1,150.17
DENA REED GENERAL COUNSEL 1000 AGENCY MANANGEMENT PROGRAM 2350 SECURITIES AND BANKING FUND NASAA-10/5 10/31/13 39.70 39.70GEORGE ADU SECUR FINAN EXAM (RPT & DISCL) 8000 MARKET EXAMINATIONS 2350 SECURITIES AND BANKING FUND NASAACORP-1114 12/6/13 1,141.18
GEORGE ADU SECUR FINAN EXAM (RPT & DISCL) 8000 MARKET EXAMINATIONS 2350 SECURITIES AND BANKING FUND 122013 (2,914.21) (1,773.03)JAMES MCMANUS ASSISTANT DIRECTOR 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND NASAACONF-10/5 11/7/13 287.66
JAMES MCMANUS ASSISTANT DIRECTOR 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND NASAACORP-1114 12/6/13 1,081.76
JAMES MCMANUS ASSISTANT DIRECTOR 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND 2577-MCMANUS 12/10/13 185.00 1,554.42JULIANA TENGEN INVESTIGATOR FRAUD 4000 ENFORCEMENT PROGRAM 2100 HMO ASSESSMENT FNINVEST.11/18 11/6/13 86.86
JULIANA TENGEN INVESTIGATOR FRAUD 4000 ENFORCEMENT PROGRAM 2200 INSURANCE ASSESSMENT FNINVEST.11/18 11/6/13 471.52
JULIANA TENGEN INVESTIGATOR FRAUD 4000 ENFORCEMENT PROGRAM 2350 SECURITIES AND BANKING FUND FNINVEST.11/18 11/6/13 545.96
JULIANA TENGEN INVESTIGATOR FRAUD 4000 ENFORCEMENT PROGRAM 2800 CAPTIVE INSURANCE FNINVEST.11/18 11/6/13 136.49
JULIANA TENGEN INVESTIGATOR FRAUD 4000 ENFORCEMENT PROGRAM 2100 HMO ASSESSMENT FNINVEST-11/18 12/6/13 6.68
JULIANA TENGEN INVESTIGATOR FRAUD 4000 ENFORCEMENT PROGRAM 2200 INSURANCE ASSESSMENT FNINVEST-11/18 12/6/13 36.27
JULIANA TENGEN INVESTIGATOR FRAUD 4000 ENFORCEMENT PROGRAM 2350 SECURITIES AND BANKING FUND FNINVEST-11/18 12/6/13 41.99
JULIANA TENGEN INVESTIGATOR FRAUD 4000 ENFORCEMENT PROGRAM 2800 CAPTIVE INSURANCE FNINVEST-11/18 12/6/13 10.50 1,336.27JUNIA TELAMOUR COMPLIANCE ANALYST 8000 MARKET EXAMINATIONS 2350 SECURITIES AND BANKING FUND NASACONF-10/5 (2,019.66) (2,019.66)KAREN COLES INVESTIGATOR FRAUD 4000 ENFORCEMENT PROGRAM 2100 HMO ASSESSMENT FINPRACT-10/20 11/6/13 102.68
KAREN COLES INVESTIGATOR FRAUD 4000 ENFORCEMENT PROGRAM 2200 INSURANCE ASSESSMENT FINPRACT-10/20 11/6/13 557.42
KAREN COLES INVESTIGATOR FRAUD 4000 ENFORCEMENT PROGRAM 2350 SECURITIES AND BANKING FUND FINPRACT-10/20 11/6/13 645.44
KAREN COLES INVESTIGATOR FRAUD 4000 ENFORCEMENT PROGRAM 2800 CAPTIVE INSURANCE FINPRACT-10/20 11/6/13 161.36 1,466.90MARGARET SCHRUENDER DEPUTY COMMISSIONER FOR MARKET COMPLIANCE 8000 MARKET EXAMINATIONS 2200 INSURANCE ASSESSMENT 102513 (200.00) (200.00)
MICHAEL FLAGG COMMUNICATIONS DIRECTOR 1000 AGENCY MANANGEMENT PROGRAM 2200 INSURANCE ASSESSMENT NAICREIM-9/23 12/19/13 138.00 138.00NATHANIEL BROWN SUPERVISORY INSURANCE OPERATIONS EXAMINER
AUDIT
2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 101113 (867.75) (867.75)
ROBERT LOPROTO INVESTIGATOR FRAUD 1000 AGENCY MANANGEMENT PROGRAM 2100 HMO ASSESSMENT NABI-10/8 10/31/13 53.62
ROBERT LOPROTO INVESTIGATOR FRAUD 1000 AGENCY MANANGEMENT PROGRAM 2200 INSURANCE ASSESSMENT NABI-10/8 10/31/13 291.07
ROBERT LOPROTO INVESTIGATOR FRAUD 1000 AGENCY MANANGEMENT PROGRAM 2350 SECURITIES AND BANKING FUND NABI-10/8 10/31/13 337.03
ROBERT LOPROTO INVESTIGATOR FRAUD 1000 AGENCY MANANGEMENT PROGRAM 2800 CAPTIVE INSURANCE NABI-10/8 10/31/13 84.26 765.98SEAN O'DONNELL SUPERVISORY FINANCIAL EXAMINER 6000 RISK FINANCE 2800 CAPTIVE INSURANCE WORLDCAPT.1-29 1/13/14 1,053.72 1,053.72SENAYET MEAZA DIRECTOR MARKET EXAMINATIONS 3000 SECURITIES PROGRAM 2350 SECURITIES AND BANKING FUND NASAACONF-10/5 10/31/13 156.50 156.50STEPHEN PERRY ASSOCIATE COMMISSIONER FOR ENFORCEMENT 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 120613 (1,053.03) (1,053.03)
WILLIAM WHITE COMMISSIONER 1000 AGENCY MANANGEMENT PROGRAM 2100 HMO ASSESSMENT TRAV-TAXIREIM. 12/6/13 73.93
WILLIAM WHITE COMMISSIONER 1000 AGENCY MANANGEMENT PROGRAM 2200 INSURANCE ASSESSMENT TRAV-TAXIREIM. 12/6/13 401.35
WILLIAM WHITE COMMISSIONER 1000 AGENCY MANANGEMENT PROGRAM 2350 SECURITIES AND BANKING FUND TRAV-TAXIREIM. 12/6/13 464.72
WILLIAM WHITE COMMISSIONER 1000 AGENCY MANANGEMENT PROGRAM 2800 CAPTIVE INSURANCE TRAV-TAXIREIM. 12/6/13 116.18
WILLIAM WHITE COMMISSIONER 2000 INSURANCE PROGRAM 2200 INSURANCE ASSESSMENT 111513 (1,150.04) (93.86)Total 3,264.37 3,264.37
*INTERIM COMMISSIONER**ACTING DEPUTY COMMISSIONER FOR MARKET OPERATIONS
Appendix 6
Department of Insurance, Securities and Banking
Travel Report -FISCAL YEAR 2014
Appendix 6
Agy FundGAAP Category TitleObject Code Description Approved Budget Actual Expenditure Available Balance
0011 REGULAR PAY - CONT FULL TIME 575,760 542,473 33,287
0012 REGULAR PAY - OTHER 76,569 75,475 1,095
0013 ADDITIONAL GROSS PAY 5,372 2,929 2,443
0014 FRINGE BENEFITS - CURR PERSONNEL 132,749 127,343 5,406
0015 OVERTIME PAY - 489 (489)
790,450 748,709 41,741
0020 SUPPLIES AND MATERIALS 3,694 3,176 518
0031 TELEPHONE, TELEGRAPH, TELEGRAM, ETC 6,063 7,662 (1,599)
0032 RENTALS - LAND AND STRUCTURES 130,733 110,025 20,708
0035 OCCUPANCY FIXED COSTS 2,298 2,298 -
0040 OTHER SERVICES AND CHARGES 59,859 8,994 50,865
0041 CONTRACTUAL SERVICES - OTHER 8,085 5,600 2,485
0050 SUBSIDIES AND TRANSFERS 93,620 93,620 -
0070 EQUIPMENT & EQUIPMENT RENTAL 28,273 23,694 4,579
332,625 255,069 77,556
1,123,075 1,003,778 119,297 TOTAL HMO ASSESSMENT
2100 PERSONNEL SERVICES
PERSONNEL SERVICES
NON-PERSONNEL SERVICES
NON-PERSONNEL SERVICES
O-TYPE FUNDS
Agy Fund Title: HMO TRUST FUND
Appendix 7
Department of Insurance, Securities and Banking
FY2013 Budget VS Expenditure
Appendix 7
Agy FundGAAP Category TitleObject Code Description Approved Budget Actual Expenditure Available Balance
0011 REGULAR PAY - CONT FULL TIME 3,780,680 3,315,815 464,864
0012 REGULAR PAY - OTHER 201,996 173,324 28,672
0013 ADDITIONAL GROSS PAY 51,876 13,792 38,084
0014 FRINGE BENEFITS - CURR PERSONNEL 810,474 657,597 152,877
0015 OVERTIME PAY 16,803 387 16,416
4,861,829 4,160,916 700,913
0020 SUPPLIES AND MATERIALS 20,053 17,239 2,814
0031 TELEPHONE, TELEGRAPH, TELEGRAM, ETC 35,954 35,954 -
0032 RENTALS - LAND AND STRUCTURES 709,693 709,693 -
0035 OCCUPANCY FIXED COSTS 12,473 12,473 -
0040 OTHER SERVICES AND CHARGES 464,235 156,703 307,531
0041 CONTRACTUAL SERVICES - OTHER 43,890 30,400 13,490
0050 SUBSIDIES AND TRANSFERS 508,225 508,225 -
0070 EQUIPMENT & EQUIPMENT RENTAL 153,556 126,429 27,127
1,948,078 1,597,117 350,961
6,809,907 5,758,033 1,051,874 TOTAL INSURANCE ASSESSMENT
Agy Fund Title: INSURANCE TRUST FUND
2200 PERSONNEL SERVICES
PERSONNEL SERVICES
NON-PERSONNEL SERVICES
NON-PERSONNEL SERVICES
Appendix 7
Agy FundGAAP Category TitleObject Code Description Approved Budget Actual Expenditure Available Balance
0011 REGULAR PAY - CONT FULL TIME 4,403,749 4,038,298 365,452
0012 REGULAR PAY - OTHER 130,232 124,188 6,043
0013 ADDITIONAL GROSS PAY 55,610 82,170 (26,560)
0014 FRINGE BENEFITS - CURR PERSONNEL 922,665 794,870 127,795
0015 OVERTIME PAY 3,500 649 2,851
5,515,756 5,040,175 475,582
0020 SUPPLIES AND MATERIALS 23,218 19,961 3,257
0031 TELEPHONE, TELEGRAPH, TELEGRAM, ETC 48,056 54,594 (6,539)
0032 RENTALS - LAND AND STRUCTURES 821,749 821,749 -
0035 OCCUPANCY FIXED COSTS 14,442 7,036 7,406
0040 OTHER SERVICES AND CHARGES 619,321 379,906 239,416
0041 CONTRACTUAL SERVICES - OTHER 69,639 35,200 34,439
0050 SUBSIDIES AND TRANSFERS 588,471 460,241 128,230
0070 EQUIPMENT & EQUIPMENT RENTAL 177,716 157,590 20,126
2,362,612 1,936,277 426,335
7,878,368 6,976,452 901,916 TOTAL SECURITIES AND BANKING FUND
Agy Fund Title: SECURITIES AND BANKING FUND
2350 PERSONNEL SERVICES
PERSONNEL SERVICES
NON-PERSONNEL SERVICES
NON-PERSONNEL SERVICES
Appendix 7
Agy FundGAAP Category TitleObject Code Description Approved Budget Actual Expenditure Available Balance
0011 REGULAR PAY - CONT FULL TIME 1,233,150 1,020,537 212,613
0013 ADDITIONAL GROSS PAY 6,130 5,750 379
0014 FRINGE BENEFITS - CURR PERSONNEL 252,114 195,539 56,575
0015 OVERTIME PAY 647 105 542
1,492,041 1,221,932 270,109
0020 SUPPLIES AND MATERIALS 5,805 4,990 815
0031 TELEPHONE, TELEGRAPH, TELEGRAM, ETC 10,408 10,408 -
0032 RENTALS - LAND AND STRUCTURES 205,437 205,437 -
0035 OCCUPANCY FIXED COSTS 3,611 3,611 -
0040 OTHER SERVICES AND CHARGES 129,556 65,457 64,099
0041 CONTRACTUAL SERVICES - OTHER 12,705 8,800 3,905
0050 SUBSIDIES AND TRANSFERS 148,718 148,718 -
0070 EQUIPMENT & EQUIPMENT RENTAL 48,420 40,636 7,784
564,660 488,057 76,603
2,056,702 1,709,989 346,712
17,868,052 15,448,252 2,419,800
TOTAL CAPTIVE INSURANCE
TOTAL O-TYPE FUNDS
Agy Fund Title: CAPTIVE INSURANCE TRUST FUND
2800 PERSONNEL SERVICES
PERSONNEL SERVICES
NON-PERSONNEL SERVICES
NON-PERSONNEL SERVICES
Appendix 7
Agy Fund Title: INTRA-DISTRICTS
Agy FundGAAP Category TitleObject Code Description Approved Budget Actual Expenditure Variance
7100 NON-PERSONNEL SERVICES0040 OTHER SERVICES AND CHARGES 81,000 81,000 -
NON-PERSONNEL SERVICES 81,000 81,000 -
TOTAL INTRA-DISTRICTS 81,000 81,000 -
INTRADISTRICT FUNDS
Appendix 7
Agy FundGAAP Category TitleObject Code Description Approved Budget Actual Expenditure Available Balance
0011 REGULAR PAY - CONT FULL TIME 620,937 110,402 510,534
0012 REGULAR PAY - OTHER 84,484 15,507 68,977
0013 ADDITIONAL GROSS PAY 5,372 4,369 1,569
0014 FRINGE BENEFITS - CURR PERSONNEL 183,485 25,061 158,424
0015 OVERTIME PAY - 67 (67)
894,277 155,407 738,871
0020 SUPPLIES AND MATERIALS 3,882 - 3,882
0031 TELEPHONE, TELEGRAPH, TELEGRAM, ETC 6,366 1,728 4,638
0032 RENTALS - LAND AND STRUCTURES 121,688 - 121,688
0035 OCCUPANCY FIXED COSTS 4,374 - 4,374
0040 OTHER SERVICES AND CHARGES 55,300 22,284 33,016
0041 CONTRACTUAL SERVICES - OTHER 8,085 - 8,085
0050 SUBSIDIES AND TRANSFERS 113,226 - 113,226
0070 EQUIPMENT & EQUIPMENT RENTAL 32,963 8,766 24,197
345,884 32,778 313,106
1,240,162 188,185 1,051,977 TOTAL HMO ASSESSMENT
Appendix 8
O-TYPE FUNDS
2100
PERSONNEL SERVICES
NON-PERSONNEL SERVICES
Agy Fund Title: HMO TRUST FUND
Department of Insurance, Securities and Banking
FY2014 Budget VS Expenditure
Appendix 8
FY2014 Budget VS Expenditure
Agy FundGAAP Category TitleObject Code Description Approved Budget Actual Expenditure Available Balance
0011 REGULAR PAY - CONT FULL TIME 3,522,696 772,836 2,749,860
0012 REGULAR PAY - OTHER 199,663 43,304 156,358
0013 ADDITIONAL GROSS PAY 51,876 25,012 26,864
0014 FRINGE BENEFITS - CURR PERSONNEL 794,043 158,501 635,542
0015 OVERTIME PAY
4,568,279 999,654 3,568,625
0020 SUPPLIES AND MATERIALS 21,071 - 21,071
0031 TELEPHONE, TELEGRAPH, TELEGRAM, ETC 34,560 37,600 (3,040)
0032 RENTALS - LAND AND STRUCTURES 660,594 - 660,594
0035 OCCUPANCY FIXED COSTS 23,744 - 23,744
0040 OTHER SERVICES AND CHARGES 442,754 128,563 314,191
0041 CONTRACTUAL SERVICES - OTHER 43,890 - 43,890
0050 SUBSIDIES AND TRANSFERS 614,658 - 614,658
0070 EQUIPMENT & EQUIPMENT RENTAL 178,942 47,588 131,354
2,020,213 213,751 1,806,462
6,588,492 1,213,405 5,375,087 TOTAL INSURANCE ASSESSMENT
Agy Fund Title: INSURANCE TRUST FUND
2200
PERSONNEL SERVICES
NON-PERSONNEL SERVICES
Appendix 8
FY2014 Budget VS Expenditure
Agy FundGAAP Category TitleObject Code Description Approved Budget Actual Expenditure Available Balance
0011 REGULAR PAY - CONT FULL TIME 5,183,664 1,021,823 4,300,470
0012 REGULAR PAY - OTHER 38,944 18,995 19,949
0013 ADDITIONAL GROSS PAY 55,610 27,465 28,145
0014 FRINGE BENEFITS - CURR PERSONNEL 1,055,856 192,886 862,970
0015 OVERTIME PAY 20,950 - 20,950
6,355,024 1,261,169 5,232,485
0020 SUPPLIES AND MATERIALS 24,398 - 24,398
0031 TELEPHONE, TELEGRAPH, TELEGRAM, ETC 40,017 55,324 (15,307)
0032 RENTALS - LAND AND STRUCTURES 764,898 - 764,898
0034 SECURITY SERVICES 5,421 - 5,421
0035 OCCUPANCY FIXED COSTS 27,493 - 27,493
0040 OTHER SERVICES AND CHARGES 589,166 244,350 344,816
0041 CONTRACTUAL SERVICES - OTHER 110,770 - 110,770
0050 SUBSIDIES AND TRANSFERS 711,709 - 711,709
0070 EQUIPMENT & EQUIPMENT RENTAL 207,196 55,102 152,094
2,481,068 354,776 2,126,293
8,836,092 1,450,173 7,358,777 TOTAL SECURITIES AND BANKING FUND
Agy Fund Title: SECURITIES AND BANKING FUND
2350
PERSONNEL SERVICES
NON-PERSONNEL SERVICES
Appendix 8
FY2014 Budget VS Expenditure
Agy FundGAAP Category TitleObject Code Description Approved Budget Actual Expenditure Available Balance
0011 REGULAR PAY - CONT FULL TIME 1,247,766 274,764 973,002
0012 REGULAR PAY - OTHER 9,736 - 9,736
0013 ADDITIONAL GROSS PAY 389 4,666 (4,277)
0014 FRINGE BENEFITS - CURR PERSONNEL 279,024 52,575 226,448
1,536,915 332,006 1,204,909
0020 SUPPLIES AND MATERIALS 6,100 - 6,100
0031 TELEPHONE, TELEGRAPH, TELEGRAM, ETC 10,004 880 9,124
0032 RENTALS - LAND AND STRUCTURES 191,225 - 191,225
0035 OCCUPANCY FIXED COSTS 6,873 - 6,873
0040 OTHER SERVICES AND CHARGES 127,264 37,221 90,042
0041 CONTRACTUAL SERVICES - OTHER 12,705 - 12,705
0050 SUBSIDIES AND TRANSFERS 177,927 - 177,927
0070 EQUIPMENT & EQUIPMENT RENTAL 51,799 13,775 38,024
583,896 51,877 532,020
2,120,811 383,883 1,736,929
18,785,557 3,235,646 15,522,770 TOTAL O-TYPE FUNDS
Agy Fund Title: CAPTIVE INSURANCE TRUST FUND
2800
PERSONNEL SERVICES
NON-PERSONNEL SERVICES
TOTAL CAPTIVE INSURANCE
Appendix 8
FY 2013
Date Description Amount
10.25.13
Request for Reprogramming of Federal Grant Funds .This funding will support program
activities by redirecting CGS 11- Regular Pay – Continuing Full Time, to CSG 12 Regular Pay -
Other, CSG 13 Additional Gross Pay . $286,657
10.24.13
Request for Reprogramming of O-Type Funds . This funding will support program activities
by redirecting CGS 11- Regular Pay – Continuing Full Time, to CSG 12 Regular Pay - Other,
CSG 14 Benefits. $91,132 Total $377,789
FY 2014
Date Description Amount
None
Reprogramming
Appendix 9
Department of Insurance, Securities and Banking
Appendix 9
FY 2013
From/To Transfer Type Amount
Department of Health Received $81,000
Municipal Facilities: Non-Capital Transferred $1,846,904
Office of Contracting and Procurement Transferred $103,754
Office of the Chief Technology Officer Transferred $37,342
Office of Finance and Resource Management Transferred $25,417
Office of the Attorney General for the District of Columbia Transferred $1,252,875
FY 2014
From/To Transfer Type Amount
Office of Contracting and Procurement Transferred $95,533
Office of the Chief Technology Officer Transferred $39,947
Department of Insurance, Securities and Banking
Intra-District transfers
Appendix 10
Appendix 10
Fund Detail Fund Detail Title Source of funding Description FY2013 RevenueFY2013 Actual
Expenditure
FY2014
Revenue
01/17/2014
FY2014 Actual
Expenditure
2100 HMO Assessment Health Insurance Companies An assessment on health care organizations 574,552 886,170 17 188,185
2200 Insurance Assessment Insurance Companies An assessment on Insurance Companies 4,847,831 5,814,041 60,444 1,213,405
2300 Securities Broker/Dealer Licenses Securities Broker and Dealer
A license to oprate as broker/Dealer in the District.
(reverts to local fund at year end)
3,307,386 5,523,945 136,946
2350 Securities and Banking Fund
Banking Institutions , Mortgage Companies
and Securities Firms and Companies
Funds collected are used for the agency operating
Budget
6,908,419 7,038,052 2,159,138 1,450,173
2500 Securities Investment Advisors Fees Securities Broker and Dealer
A license to operate as Securities investment advisers.
(reverts to local fund at year end)
517,386 467,195
2600 Securities Registration Fees Investment Companies
Fees that are required by DC code associated with the
registration and notice filling sale of securities in the
district(revert to local fund at the year end)
11,607,125 4,980,589
2800 Captive Premium Taxes and Fees * Licensed captive insurance companies Premium Taxes, A license to engage in business offers
2,113,992 1,709,989 38,410 383,883
29,876,691 15,448,252 13,229,737 3,372,591
* Premium Taxes
Agency Insurance Premium Taxes are reflected in Local Funds
FY13 Premium Taxes Revenue 77,548,848$
FY14 Premium Taxes Revenue (YTD) 150,447$
Department of Insurance, Securities and Banking
Special Purpose Revenue
FY2013-FY2014 Revenue & Expenditure
Appendix 11
Appendix 11
Approp Fund GAAP Category TitleComp Source Group TitleBudget Total Expenditures Available Balance Unspent
FundsExplanation for Savings in all funds
790,450.13 748,709.1 41,741.03 Surplus in personnel services is due to vacancy savings. The agency had
difficulty in filling multiple positions in FY 2013 and effort has begun to fill
them in FY 2104.
239,939.25 161,448.47 78,490.78Surplus in non personnel services is due to the following factors: 1) Office
Support: The planned office build-out could not be completed in FY 2013 and
will continue into FY 2014. 2) Printing: There was a conscious effort on the
part of the agency to cut back on promotional and printing items. 3) Training
and Travel: There was a cut back on training and travel due to Mayor’s
restriction. 4) Transfers: There was vacancy savings due to unfilled positions
in OAG Staff. 5) Equipment: The agency postponed the file net modification
project.
1,030,389.38 910,157.57 120,231.81
Approp Fund GAAP Category TitleComp Source Group TitleBudget Total Expenditures Available Balance
4,861,829.04 4,160,916.15 700,912.89
1,948,078.18 1,597,116.74 350,961.44
6,809,907.22 5,758,032.89 1,051,874.33
Approp Fund GAAP Category TitleComp Source Group TitleBudget Total Expenditures Available Balance
5,515,756.09 5,040,174.51 475,581.58
Appendix 12
Department of Insurance, Securities and Banking
FY2013 Overspending Underspending
PERSONNEL SERVICES
NON-PERSONNEL SERVICES
Fund
Balance
HMO ASSESSMENT
PERSONNEL SERVICES
NON-PERSONNEL SERVICES
Fund
Balance
General
fund
Agy Fund Title: SECURITIES AND BANKING FUND
PERSONNEL SERVICES
Agy Fund Title: HMO TRUST FUND
Agy Fund Title: INSURANCE TRUST FUND
INSURANCE ASSESSMENT
Appendix 12
2,362,612.2 1,997,877.45 364,734.75
7,878,368.29 7,038,051.96 840,316.33
Approp Fund GAAP Category TitleComp Source Group TitleBudget Total Expenditures Available Balance
1,492,041.42 1,221,932 270,109.42
564,660.21 488,057.25 76,602.96
2,056,701.63 1,709,989.25 346,712.38
2,056,701.63 1,709,989.25 346,712.38
SECURITIES AND BANKING FUND
General
fund
General
fund
CAPTIVE INSURANCE
2800
Agy Fund Title: CAPTIVE INSURANCE TRUST FUND
PERSONNEL SERVICES
NON-PERSONNEL SERVICES
NON-PERSONNEL SERVICES
Appendix 12
Grant No Grant No Title GAAP Category TitleComp Source Group Comp Source Group Title Approved Budget Total Expenditures Revenue
0011 REGULAR PAY - CONT FULL TIME 141,383 140,195 -
0012 REGULAR PAY - OTHER 224,120 251,009 -
0014 FRINGE BENEFITS - CURR PERSONNEL 71,499 71,497 -
437,002 462,701 -
0041 CONTRACTUAL SERVICES - OTHER 249,998 249,998 -
0070 EQUIPMENT & EQUIPMENT RENTAL 25,701 - -
275,699 249,998 -
IBPRII Total IBPRII 712,701 712,700 712,700
0011 REGULAR PAY - CONT FULL TIME 118,598 80,307 -
0013 ADDITIONAL GROSS PAY - 0 -
0014 FRINGE BENEFITS - CURR PERSONNEL 24,136 16,258 -
142,734 96,565 -
0020 SUPPLIES AND MATERIALS 3,000 - -
0040 OTHER SERVICES AND CHARGES 69,145 - -
0050 SUBSIDIES AND TRANSFERS 4,126,677 - -
0070 EQUIPMENT & EQUIPMENT RENTAL 4,000 - -
4,202,822 - -
Total SSBCI1 4,345,556 96,565 79,903
PERSONNEL SERVICES
NON-PERSONNEL SERVICES
Federal Grants
FY2013
IBPRII HEALTH INSURANCE RATE REVIEW
PHASE II
PERSONNEL SERVICES
NON-PERSONNEL SERVICES
SSBCI1 STATE SMALL BUSINESS CREDIT
INITIATIVE
Appendix 13
Department of Insurance Securities and Banking
Appendix 13
Grant No Grant No Title GAAP Category TitleComp Source Group Comp Source Group Title Approved Budget Total Expenditures Revenue
0011 REGULAR PAY - CONT FULL TIME - 30,221 -
0012 REGULAR PAY - OTHER 585,209 46,133 -
0014 FRINGE BENEFITS - CURR PERSONNEL 124,151 15,023 -
709,360 91,376 -
0040 OTHER SERVICES AND CHARGES 115,856 72,073 -
0041 CONTRACTUAL SERVICES - OTHER 245,000 217,890 -
0070 EQUIPMENT & EQUIPMENT RENTAL 135,000 - -
495,856 289,963 -
IBPRII Total IBPRII 1,205,216 381,339 -
0011 REGULAR PAY - CONT FULL TIME - 26,759 -
0012 REGULAR PAY - OTHER 109,442 - -
0014 FRINGE BENEFITS - CURR PERSONNEL 23,212 3,365 -
132,654 30,124 -
0020 SUPPLIES AND MATERIALS 3,000 - -
0040 OTHER SERVICES AND CHARGES 69,145 - -
0050 SUBSIDIES AND TRANSFERS 1,000,000 - -
0070 EQUIPMENT & EQUIPMENT RENTAL 4,000 - -
1,076,145 - -
SSBCI1 Total SSBCI1 1,208,799 30,124 -
2,414,015 411,464 - 0200
Federal Grants
FY2014
IBPRII HEALTH INSURANCE RATE REVIEW
PHASE II
PERSONNEL SERVICES
SSBCI1 STATE SMALL BUSINESS CREDIT
INITIATIVE
NON-PERSONNEL SERVICES
NON-PERSONNEL SERVICES
PERSONNEL SERVICES
Appendix 13
Agy Object Agy Object Title Budget Total Expenditures
0308 TELEPHONE,TELETYPE,TELEGRAM,ETC 101,041 103,754
0309 RENTALS-LAND AND STRUCTURES 1,867,612 1,846,904
0310 OCCUPANCY FIXED COSTS 32,823 25,417
0404 MAINTENANCE AND REPAIRS - AUTO 12 -
0416 POSTAGE 45,000 28,000
FY13 Fixed Cost Total 2,046,489 2,004,076
Agy Object Agy Object Title Budget Total Expenditures
0308 TELEPHONE,TELETYPE,TELEGRAM,ETC 90,948 95,533
0309 RENTALS-LAND AND STRUCTURES 1,738,405 -
0310 OCCUPANCY FIXED COSTS 62,484 -
0404 MAINTENANCE AND REPAIRS - AUTO 12 -
0416 POSTAGE 40,000 30,000
1,931,850 125,533
FY14 Fixed Cost Total 5,431,062 651,384
FY14 Fixed Cost Budget and Actual Expenditures
FY13 Fixed Cost Budget and Actual Expenditures
Appendix 14
Department of Insurance, Securities and Banking
Appendix 14
DISTRICT OF COLUMBIAINSURANCE REGULATORY TRUST FUND BUREAU
DEPARTMENT OF INSURANCE SECURITIES AND BANKINGAGREED UPON PROCEDURES REPORT
FOR THE PERIODOCTOBER 1, 2009 THROUGH SEPTEMBER 30, 2011
BEJ{~SlVlITH
Certified Puhlic Accountants and M(ffI(JJ,;cmcnt Consultants
DISTRICT OF COLUMBIAINSURANCE REGULATORY TRUST FUND BUREAU
DEPARTMENT OF INSURANCE SECURITIES AND BANKING
FOR THE PERIOD OCTOBER 1, 2009 THROUGH SEPTEMBER 30, 2011
TABLE OF CONTENTS
Independent Accountant's Report 1
Results and Recommendations 3
Exhibits
. Exhibit 3-a: Lack of Documentation
. Exhibit 3-d: Lack of Documentation
. Exhibit 3-e: Improper Posting of Expenditures to Bureaus
CERTIFIED PUBLIC ACCOUNTANTS AND MANAGEMENT CONSULTANTS
BERTSMITH.(;0.
INDEPENDENT ACCOUNTANT'S REPORTON APPLYING AGREED-UPON PROCEDURES
Board of DirectorsDistrict of Columbia Insurance Regulatory Trust Fund Bureau
We have performed the procedures enumerated below, which were agreed to by the Board of Directors ofthe District of Columbia Insurance Regulatory Trust Fund Bureau (the Board), solely to assist the Boardin evaluating the assessment and expenditures of funds to support the insurance regulatory operation ofthe District of Columbia Department of Insurance Securities and Banking (DISB) for the years ended2009, 2010 and 2011. DISB's management is responsible for the accounting records. This agreed-uponprocedures engagement was conducted in accordance with attestation standards established by theAmerican Institute of Certified Public Accountants. The sufficiency of these procedures is solely theresponsibility of the Board. Consequently, we make no representation regarding the sufficiency of theprocedures described below either for the purpose for which this report has been requested or for anyother purpose.
The procedures performed are as follows:
1. Reviewed the procedures employed by the DISB in calculating the annual assessment of insurers andHMOs licensed to do business in District of Columbia.
2. Determined whether each insurer and HMO was properly assessed annually in the calendar/fiscalyears 2009, 2010 and 2011.
3. Validated the accuracy of the licensed companies, addresses and processes for updating the list oflicensed companies.
4. Examined the approved budget within the DISB responsible for regulating insurance companies,HMOs and other support areas to determine compliance with D.C. law that limit the gross amountassessed on insurers and HMOs from exceeding the amount budgeted by the Council.
5. Verified deposits to and expenditures from the Insurance Regulatory Trust Fund for FY09, FYlO andFY11 to determine compliance with applicable D.C. law provisions that provide that the funds shallbe used only to defray the expenses of the administration of insurance. The review included otherDistrict agencies that perform insurance support functions.
6. Reviewed the treatment of yearly interest income earned on the cumulative Trust Fund balance todetermine whether interest was properly credited and added to the Regulatory Trust Fund balanceduring the FY09, FY10 and FYI 1.
1090 Vermont Avenue, N.W. .:. Suite 920 .:. Washington, D.C. 20005 .:. PHONE202.393.5600 .:. FAX202.393.5608 .:. INTERNETwww.bertsmithco.com
7. Reviewed the procedures and methodology to track and allocate expenditures among insurance,HMOs and other statutory sources of revenues within the department, and the methodology andprocedures used to reflect the allocations in accounting and budget documents. This included thereview of the time keeping mechanism, payroll allocation records for positions dedicated toinsurance, HMO operation, and other department activities; and track and allocation methods andprocedure to allocate non-personnel expenditures, including rent, supplies, contract services andoverhead.
We were not engaged to, and did not conduct an audit the objective of which would be the expression ofan opinion on assessment and expenditures of funds to support the insurance/regulatory operation of theDistrict of Columbia Department of Insurance Securities and Banking. Accordingly, we do not expresssuch an opinion. Had we performed additional procedures, other matters might have come to our attentionthat would have been reported to you.
This report is intended solely for the information and use of the Board of Directors for the District ofColumbia Insurance Regulatory Trust Fund Bureau and the District of Columbia Department of InsuranceSecurities and Banking and is not intended to be and should not be used by anyone other than thespecified parties.
~ SwtL f ~6>.June 21, 2013Washington, D.C.
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DISTRICT OF COLUMBIAINSURANCE REGULATORY TRUST FUND BUREAU
DEPARTMENT OF INSURANCE SECURITIES AND BANKING
FOR THE PERIOD OCTOBER 1, 2009 THROUGH SEPTEMBER 30, 2011
RESULTS AND RECOMMENDA nONS
The procedures perfonned disclosed certain matters relating to the rate assessment and the expendituresof the Insurance Regulatory Trust Funds.
TASK 1: ASSESSMENTS METHODOLOGY
Based on our review of the procedures utilized by the DISB in calculating the annual assessment ofinsurers and HMOs, we noted the following findings:
Finding 1 DISB Does Not Compute the Assessment in Accordance with Rel!ulations
DISB calculates the assessments for the insurers and Health Maintenance Organizations(HMO) as a percentage of the direct gross receipts of the second preceding year that isobtained from the National Association Insurance Companies (NAIC) database. The D.C.law §31-1203 requires that the preceding year's gross receipts be used in the calculationof the assessment. The DISB management explained that there is a time lag in theavailability of the preceding year's gross receipts and the available infonnation at time ofassessment is that of the second preceding year.
Recommendation: DISB and the Board should consider pursuing a revision to thecurrent requirement that would allow the use of the secondpreceding year gross receipts as the basis for the assessment.
Management'sResponse: Management has already revised the process for creating the
premium infonnation for the assessment and now uses the prioryear's premiums, so no changes need to be made to the law.
TASK 2: ASSESSMENT OF HMO AND INSURANCE COMPANIES
We perfonned procedures to detennine that each HMO and insurer was properly assessed.
Finding 2 DISB did Not Submit Assessment to One HMO
DISB inadvertently failed to assess and submit assessment to one HMO in FY 2009 for$1,000. D.C. Code states that all insurers and HMOs shall be subject to an annualassessment without exception.
Recommendation: DISB should improve its quality control procedures over theassessment calculation to ensure that all HMOs are included inthe assessment computation.
Management'sResponse: Management has already revised the process to use the company
licensing database to create the list of companies subject to theassessment, so this should not be a problem going forward.
- 3 -
Fiscal Year Assessment In-actives Collected Uncollected2009 $ 7,473,047 (48,000) $ 7,321,728 $ 103,3192010 $ 6,743,922 (1,000) $ 6,735,921 $ 7,0012011 $ 6,528,784 (1,000) $ 6,522,915 $ 4,869
Fiscal Year Assessment In-actives Collected Uncollected2009 $ 745,110 - $ 744,110 $ 1,000
2010 $ 436,118 - $ 435,118 $ 1,0002011 $ 629,410 - $ 628,410 $ 1,000
TASK 3: ACCURACY OF ADDRESSES
We perfonned procedures to validate the accuracy of the licensed companies, addresses and processes forupdating the list of licensed companies.
No exceptions were found as a result of applying the procedures.
TASK 4: APPROVED BUDGET
We examined the approved budget and other support areas for HMOs and Insurers to detenninecompliance with D.C. Law that limits the gross amount that can be assessed on Insurers and HMOsensuring that it does not exceed the amount budgeted by the City Council.
No exceptions were found as a result of applying the procedures.
TASK 5: ASSESSMENT DEPOSITS
We reviewed the deposits to the Insurance Regulatory Trust Fund for FY09, FY10 and FY11 todetennine compliance with applicable D.C. law provisions. The tables below summarize the assessed,collected and uncollected amounts based on DISB's accounting system (SOAR) during FY 2009, FY2010 and FY 2011.
Insurance:
HMO
Our review of the deposits revealed the following deficiency.
Finding 3-a Lack of Documentation
DISB was unable to provide copies of assessment notices, checks and deposit vouchersfor seventeen (17) out of the 244 insurance and HMO assessments sampled from FY2009, FY 2010 and FY 2011. We perfonned alternative procedures by reviewing thedatabase used to track the assessment collections for FY 2009, FY 2010 and FY 2011 andnoted that of the 17 missing items, fourteen (14) items totaling $37,760 were collected,two (2) items totaling $2,000 were inactive one (1) item totaling $1,000 remainsuncollected. See detail in Exhibit 3-afor detail of missing documents.
- 4 -
Finding 3-b
Finding 3-c
Accuracv of Insurance Assessment
We noted that the insurance assessment database for FY 2009, FY 2010 and 2011included inactive insurance companies that were assessed an annual fee even though theywere inactive. As a result, the annual assessment for insurance is overstated by $48,000in FY 2009, $1,000 in FY 2010 and $1,000 in FY 2011.
Recommendation: DISB should strengthen their retention and retrievaldocumentation system that would facilitate the location of therequired support in the event of an audit or review. DISB shouldalso strengthen their quality review to ensure completeness andaccuracy of the annual assessments and pursue collection of theuncollected assessments.
Management'sResponse: 3-a - Management concurs with the finding and will strengthen
its retention and retrieval documentation system that wouldfacilitate the location of the required support in the event of anaudit or review.
3-b - Management concurs with the finding. Management willcontinue to review the list and reserves the right to collect theamount due including interest and penalties.
Penalties and Interest Not Assessed
We noted for fifty-five (55) out of the 244 insurers and HMOs reviewed submitted theirassessment payments late, but were not assessed any penalty or interest. Pursuant to D.C.§31-1203 each insurer and HMO shall pay their assessment fees within thirty (30) days ofthe mailing date of the Notice of Assessment and §31-1204 states that any insurers thatfail to pay an assessment on or before the date shall be subject to a penalty of 10% of theassessment plus interest at one half of 1% per month. The computed penalty and interestfor the late submission from the sample we tested totaled $68,614.
Recommendation: We recommend that DISB adhere to its policies and proceduresover delinquent assessment submission in accordance with D.C.regulations and consider pursuing collection of the uncollectedamounts including penalty and interest.
Management'sResponse: DISB has not followed strict adherence to the requirement for
the payment of the penalties and interest because of the verytight timeframe the law puts on insurance companies to processthe payments. We do use the threat of interest and penalties ondelinquent payers. While the notice currently has the date thepayment is due, it does not mention the prospect of interest andpenalties if the payment is not made timely. We presume the realgoal of the interest and penalties is to encourage timely payment,so we will look at revising the notice to emphasize the interestand penalties if the payment is not made by the due date on theinvoice. We will also implement procedures to review thetimeliness of payments and assess interest and penalties aswarranted as a result of these procedures.
- 5 -
FY09 FYIO FYll
Insurance $ 6,582,664 $ 6,925,026 $ 6,072,989
HMO $ 719,047 $ 568,942 $ 665,915
TASK 5:{Continued}
INSURANCE, AND HMO EXPENDITURES
We reviewed the expenditures from the Insurance Regulatory Trust Fund for FY09, FYlO and FY11 todetermine compliance with applicable D.C. law provisions that provide that the Fund shall be used onlyto defray the expenses of the administration of insurance.
Based on the DISB's accounting system (SOAR) the expenditures for the Insurance, and HMO TrustFunds were as follows:
Our review of the expenditures revealed various deficiencies which occurred due to DISB's lack ofadequate supervisory review.
Finding 3-d Lack of Documentation
We tested a sample of234 expenditures from FY 2009 through FY 2011. The underlyingsupporting documentation for four (4) of the out Insurance expenditures were notprovided. Therefore we were unable to determine whether expenditures totaling $57,432were in compliance with the applicable D.C. law. See Exhibit 3-d for listing ofexceptions.
Finding 3-e Improper Postim! of Expenditures to Bureaus
In FY 2009, 100% of one transaction was applied to HMO. However, based on review ofthe supporting document the transaction was a refund which should have been charged toCaptives. This resulted in $2,000 being erroneously allocated to HMO.
Twelve (12) of the 234 sample items indicated that expenditures were not allocated inaccordance with the prevailing HMO and Insurance percentages in FY 2009, 2010 and2011. This resulted in overstated HMO costs of $3,819 and Insurance costs of $4,119.See Exhibit 3-e for detail.
Recommendation: DISB should strengthen its document retention procedures formaintaining supporting documents for the expenditures charged.It should also improve its supervisory review process over theallocation of expenditures to ensure the propriety of costsallocated to each bureau.
Management'sResponse: 3-d- The 4 documents were inadvertently shredded with the FY
08 documents.
3-e- Management concurs with the finding and will strengthenits retention procedures for maintaining supporting documentsfor the expenditures charged.
- 6 -
Actual AmountDISB Actual Amount Allocated
Prevailing Allocated Paid Per Should Over/(Under)Bureau Allocation % EIS Reoort Have Been Payment
HMO 4.0% 0.6% $ 13,063 $ 80,517 $ (67,454)
Insurance 44.0% 47.4% 953,140 885,686 67,454
Captives 11.0% 11.0% 221,422 221,422 -Securities 21.0% 21.0% 422,714 422,714 -Banking 20.0% 20.0% $402,585 402,585 -
Total 100% 100% $ 2,012,924 $ 2,012,924 $ -
TASK 6: INTEREST INCOME
We reviewed the treatment of yearly interest income earned on the cumulative Trust Fund balance todetermine whether interest was properly credited and added to the Regulatory Trust Fund balance duringthe FY09, FYlO and FYI 1.
No exceptions were found as a result of applying the procedures.
TASK 7: ALLOCATION METHODOLOGY
We reviewed the procedures and methodology to track and allocate expenditures among insurance,HMOs and other statutory sources of revenues within the Department, and the methodology andprocedures used to reflect the allocations in accounting and budget documents.
Finding 4 Allocation Percentaf!e Incorrectlv Aoolied
Office Space: Based on discussion with DISB's management, the allocationmethodology in place over rental expenditures is based on full time equivalents. Ourrecalculation of overhead costs showed that allocation to the HMO and Insurance bureauswas not properly applied during FYlO. The schedule below compares the rent charges perbureau recorded by DISB and the charges based on the allocation percentages in place atthe time.
FY2010: Rent
Based on the prevailing allocation percentages, the rent for HMO was understated by$67,454 and insurance was overstated by $67,454.
Recommendation: DISB should adhere to its methodologies established. This willensure consistency and allow for cost comparisons from oneperiod to the next. In addition, DISB should reimburse insurancefor the overcharge and allocate to HMO its correct share of therental cost.
Management'sResponse: Management concurs with the finding and will adhere to the
established allocation methodologies.
- 7 -
Fiscal Assessment
Year Bureau Company Amount Status
2009 Insurance First Hlth Life & Hlth Ins Co $ 1,000 Uncollected
2009 Insurance MBIA Ins Corp $ 2,673 Collected
2009 Insurance DaVita Villagehealth of VA Inc $ 1,000 Inactive
2009 Insurance Cumberland Cas & Surety Co $ 1,000 Inactive
2009 Insurance American Motorists Ins Co $ 1,000 Collected
2009 Insurance Travelers Ind Co Of CT $ 21,818 Collected
2010 Insurance Nationsbui1ders Ins Co $ 1,000 Collected
2010 Insurance Bravo Hlth Ins Co Inc $ 1,000 Collected
2010 Insurance Healthy Alliance Life Ins Co $ 1,000 Collected
2010 Insurance Homesite Ins Co Of The Midwest $ 1,000 Collected
2010 Insurance CIFG Assur N Amer Inc $ 1,000 Collected
2010 Insurance John Hancock Variable Life Ins Co $ 2,269 Collected
2010 Insurance Insurance Corp Of NY $ 1,000 Collected
2010 Insurance Equitrust Life Ins Co $ 1,000 Collected
2010 Insurance CMG Mortgage Ins Co $ 1,000 Collected
2010 Insurance American Equity Invest Life Ins Co $ 1,000 Collected
2011 Insurance Great Western Ins Co $ 1,000 Collected
Exhibit 3-a: Lack of Documentation
$ 40,760
FiscalYear Bureau Vendor Trans Amt
2009 Insurance Blank $ 4,320.00
2009 Insurance Blank 32,624.64
2009 Insurance Blank 5,317.61
2011 Insurance Blank 15,170.08
Exhibit 3-d: Lack of Documentation
$ 57,432.33
Contracting Party Product/Service Budgeted Amount Actual Spending Term Negotiated/Competitive Bid Contract Monitor Results Funding Source CBE
ACO Information Services Database Maintenance $172,051.00 $172,051.00 FY13 and FY14 Negotiated Christopher Weaver/Theodore Miles Maintenance Paid in Full O-Type No
American Assoc. of Residential Mortgage Reg Membership Dues $750.00 $750.00 FY13 Negotiated Christopher Weaver Received and Paid O-Type No
AON
Assessment and Implementation of Organizational
Services $80,000.00 $80,000.00 FY13 Negotiated Katrice Purdie Received and Paid O-Type No
Bureau of Nationsl Affairs Investor Advisor Subscription $3,380.00 $3,380.00 FY13 Negotiated Theodore Miles Received and Paid O-Type No
BizTech Fusion LLC VMWare Vsphere Maintenance $3,797.00 $3,797.00 FY13 Competitive Shankar Vaidyanathan Received and Paid O-Type Yes
CCH Website Subscription Package $20,977.00 $20,977.00 FY13 and FY14 Negotiated Theodore Miles Received and Paid O-Type No
Center for Dispute Mediation Services $50,000.00 $6,300.00 FY13 and FY14 Negotiated Ben Arnold On going service monitor monthly payment Private Grant Funds No
Central Parking Subsidy Parking $20,295.00 $0.00 FY14 Negotiated Terry Moore On going service monitor monthly payment O-Type No
Commcore, Inc. Media Training for Staff $21,781.00 $21,781.00 FY13 Negotiated Michael Flagg Received and Paid O-Type No
CSBS Annual Membership Membership Dues $23,590.00 $23,590.00 FY13 Negotiated Christopher Weaver Received and Paid O-Type No
Datawatch Systems Security $19,862.00 $13,960.00 FY13 and FY14 Negotiated Terry Moore On going service monitor monthly payment O-Type No
Dell Computers Opti 990 and Monitors $15,721.00 $15,721.00 FY13 Competitive Shankar Vaidyanathan Received and Paid O-Type No
Dell Computers PowerEdge Server $9,277.00 $9,277.00 FY13 Competitive Shankar Vaidyanathan Received and Paid O-Type No
Document Systems Support Maintenance - Filenet $38,814.00 $38,814.00 FY13 and FY14 Competitive Shankar Vaidyanathan Maintenance Paid in Full O-Type Yes
Document Systems Kofax Support and Upgrade $3,366.00 $3,366.00 FY13 Competitive Shankar Vaidyanathan Maintenance Paid in Full O-Type Yes
Document Systems IBM Lotus Domino Enterprise Web sphere $3,091.00 $3,091.00 FY13 Competitive Shankar Vaidyanathan Maintenance Paid in Full O-Type Yes
Dynamic Development Advisors Captive Domicile Study $17,000.00 $17,000.00 FY13 Negotiated Dana Sheppard Received and Paid O-Type No
Iron Mountain Off-Site Data Protection $8,571.00 $8,571.00 FY13 and FY14 Negotiated Shankar Vaidyanathan Maintenance Paid in Full O-Type No
IronData Database Upgrade $12,000.00 $12,000.00 FY13 Negotiated Theodore Miles Received and Paid O-Type No
National Association of Insurance NAIC State Assessment & TeamMate $9,634.00 $9,634.00 FY13 Negotiated Phillip Barlow Assessment Fees Paid in Full O-Type No
National Association of Insurance NAIC Rate Form Filing $62,201.00 $62,201.00 FY13 Negotiated Phillip Barlow Received and Paid Federal Grant Fund No
National Association of Insurance NAIC Teammate Website $4,221.00 $4,221.00 FY13 Negotiated Phillip Barlow Received and Paid O-Type No
NASAA Annual Dues $1,800.00 $1,800.00 FY13 Negotiated Theodore Miles Received and Paid O-Type No
Nova Rest Inc Health Rate Regulatory Contractor $249,220.00 $176,100.00 FY13 and FY14 Competitive Phillip Barlow On going service monitor monthly payment Federal Grant Fund No
Pitney Bowes Mailing System and Postage $28,872.00 $18,910.00 FY13 and FY14 Competitive Terry Moore On going service monitor monthly payment O-Type No
Pitney Bowes Postage $60,000.00 $30,000.00 FY13 and FY14 Negotiated Terry Moore Received and Paid O-Type No
Pro Image Consultants Kodak Scanners Annual Warranty $6,567.00 $6,567.00 FY13 Competitive Shankar Vaidyanathan Received and Paid O-Type No
Reed Elsevier Corporation LexisNexis Website $15,747.00 $15,747.00 FY13 Negotiated Terry Moore On going service monitor monthly payment O-Type No
Shred-It USA Recycling/Shredding $8,000.00 $4,600.00 FY13 and FY14 Competitive Terry Moore On going service monitor monthly payment O-Type No
Smith, Graham & Crump Mediation Services $50,000.00 $5,700.00 FY13 and FY14 Negotiated Ben Arnold On going service monitor monthly payment Private Grant Fund No
SuperTech Incorporated Laptops $5,092.00 $5,092.00 FY13 Competitive Phillip Barlow Received and Paid Federal Grant Fund Yes
Syscom Maintenance Rightfax Support $2,589.00 $2,589.00 FY13 Competitive Terry Moore Received and Paid O-Type No
Xerox Copier Lease Agreement and Maintenance $113,279.00 $113,279.00 FY13 Negotiated Terry Moore On going service monitor monthly payment O-Type No
Appendix 16
Department of Insurance, Securities and Banking
Contracting and ProcurementFY13 and FY14
Appendix 17 Department of Insurance, Securities and Banking Current Memoranda of Understanding (MOU)
FY 2013 and thus far in FY 2014
PARTIES PURPOSE DATE
EXECUTED SIGNED
DISB and the Office of the Attorney General (OAG)
MOU between DISB and OAG
legal service FY 2014
12/18/13
DISB and the
Department of Health
Care Finance (DHCF)
MOU between DISB and DHCF
to assess all insurers.
08/12/13
DISB and Office
Administrative
Hearings (OAH)
Amended MOU between DISB and OAH for the hearing of adjudicative cases under DISB’s regulatory jurisdiction in FY 2014
Executed by
DISB
12/26/13
DISB and Metropolitan
Police Department
(MPD)
MOU between DISB and MPD
to conduct fingerprinting
services as authorized by FBI
for FY 2014
Executed by
DISB
11/27/13
DISB and District of
Columbia Department
of Cable Television
(OCT)
MOU between DISB and OCT
for a 3- minute DISB overview
video promotion for FY 2013
7/11/13
DISB and Consumer
Financial Protection
Bureau (CFPB)
MOU between DISB and CFPB
for the Sharing of Information
for Consumer Protection
Purposes for FY 2012
03/15/12
DISB and The
Department of
General Services (DGS)
MOU between DISB and DGS
for the renovations of the 6th
and 7th Floors in FY 2013
08/13/13
DISB and the
Department of
Treasury Financial
Crimes Enforcement
MOU between DISB and FinCEN
to establish procedures for the
Sharing and Exchanging of
confidential Information in FY
08/30/12
Network (FinCEN) 2013
DISB and the National Association of Insurance Commissioners (NAIC)
MOU between DISB and NAIC
for uninterrupted access to the
Data System of confidential
Information (Application)
11/29/10
DISB and the Consumer Financial Protection Bureau (CFPB), the Conference of State Bank Supervisors (CSBS), and the Other Signatories (The PARTIES)
DISB and the Consumer
Financial Protection Bureau
(CFPB), the Conference of State
Bank Supervisors (CSBS), and
the Other Signatories (The
PARTIES).
Executed by
CFPB on
01/04/11;
Executed by
CSBS on
01/14/11;
Executed by
DISB
03/15/12
Appendix 18
Department of Insurance, Securities and Banking FY13 and FY14 to date Events and Presentations
WARD EVENT DATE EVENT/PROGRAM LOCATION FOCUS #PPL
6
October 16, 2012
DC's Foreclosure Mediation Process
Metropolitan Washington Council of Government, 777 North Capital Street, NW
Presentation – Foreclosure mediation process.
30
6
October 17, 2012
Financial Fraud Against Seniors
River Park Apartment, 1311 Delaware Avenue, SW
Presentation - Financial Fraud and Prevention as it relates to seniors.
25
1
October 27, 2012
2012 Financial Planning Day
Columbia Heights Educational Campus, 3101 16th Street, NW
Presentation and Information Booth – Discussed the department’s role in protecting consumer financial interest.
50
2
November 3, 2012
Moneywise Financial Empowerment Tour 2012
Metropolitan AME Church, 1518 M Street, NW
Presentation and Information Booth: Foreclosure Mediation Program
75
4
November 5, 2012
Financial Fraud Against Seniors
Emery Heights AARP, Emery Heights Recreation Center, 5701 Georgia Avenue, NW
Presentation - Financial Fraud and Prevention as it relates to seniors.
19
6
November 28, 2012
The 2012 Financial Literacy Council Town Hall
Center at the Old Naval Hospital, 921 Pennsylvania Avenue, SE
Presentation and Information Booth – Discussed financial products, services and strategies offered to assist residents towards financial literacy.
50
MD December 3, 2012
Financial Literacy Online Radio Interview
4305 St. Barnabas Rd, Temple Hills MD Go-Go Radio Station
Interview: Internet radio talk show with Industrial Bank focus on financial literacy and education
N/A
WARD EVENT DATE EVENT/PROGRAM LOCATION FOCUS #PPL
6
December 5, 2012
2012 Mayor’s Annual Senior Holiday Celebration
D.C. Armory located 2001 East Capitol St, SE
Information Booth - Financial Fraud and Prevention as it relates to seniors.
N/A
2
December 6, 2012
Residential Foreclosures 2012: Who, What, When, Why, and How
D.C. Bar Conference Center, 1101 K Street, NW
Presentation – District’s Foreclosure Mediation Program
55
5
January 12, 2013
Trinity University of Continuing Education
Trinity College, 125 Michigan Avenue, NE
Presentation – Role of DISB, consumer protection, financial literacy
11
5
January 16, 2013
Interview Washington Informer, DC Cable Television Show
DCTV/Studio B, 901 Newton Street, NE
Interview – mortgage foreclosure crisis and its impact on the Nation’s Capital
N/A
1
February 15, 2013
Financial Crimes Against Seniors
Garfield Terrace Apartments, 2301 11th St., NW
Presentation - Financial fraud and prevention as it relates to seniors.
10
6
February 19, 2013
Role of DISB in the Community
Gallaudet University, 800 Florida Avenue, NE
Presentation – Introduction to insurance, function of the bureau, day to day operations esp. on consumer services.
12
6
February 20, 2013
Financial Crimes Against Seniors
Potomac Gardens, 1229 G Street, SE
Presentation – Financial fraud and prevention as it relates to seniors.
10
5
March 5, 2013
Flood Insurance Town Hall Flood Hazard Protection: What You Need to Know
St. George’s Church, 160 U Street, NW
Presentation - Flood and Homeowner Insurance
35
5
March 29, 2013
Senior Financial Fraud Prevention Presentations
Model Cities Senior Wellness Center, 1901 Evarts Street, NE
Presentation - Financial fraud and prevention as it relates to seniors.
32
WARD EVENT DATE EVENT/PROGRAM LOCATION FOCUS #PPL
8
April 6, 2013
Temple of Praise 2013 Job Fair
Mary Virginia Merrick Center, 4275 4th Street, SE
Presentation – Overview of DISB and health insurance
7
6
April 11, 2013
Senior Financial Fraud Prevention Presentations
Congress Heights Senior Wellness Center, 3500 MLK, Jr. Avenue., SE
Presentation - Financial fraud and prevention as it relates to seniors.
35
7
April 14, 2013
Financial Scam Presentation
St. Timothy’s Episcopal Church, 3601 Alabama Ave. SE
Presentation - Financial fraud and prevention as it relates to seniors.
38
VA
April 15, 2013
Sandwich Generation Session
700 Army Navy Drive, Arlington, Virginia 22202
Presentation - Financial Scams
30
8
April 17, 2013
Senior Financial and Insurance Awareness Day
Congress Heights Senior Wellness Center, 3500 MLK, Jr. Avenue., SE
Presentation - information on avoiding senior financial scams
54
7
April 30, 2013
Child Abuse Prevention and Community Conversation
3917 Minnesota Avenue, NE (ERFSC's Conference Room)
Presentation - Discuss DISB and Bank on DC
40
6
May 1, 2013
Senior Financial and Elderly Abuse
D,C. Department on Aging, 500 K Street, NE
Presentation - Financial fraud and prevention as it relates to seniors.
14
5
May 2, 2013
St. Anthony Catholic School Career Day
12th and Lawrence Streets, NE
Presentation - Introduction of Saving
120
7
May 7, 2013
Banking on Our Future Program at HD Woodson-2013
HD Woodson High School, 540 55th Street, NE
Presentation - Basics of Banking/ Checking & Savings
14
6
May 7, 2013
Senior Financial Fraud Prevention Presentations
Bernice Elizabeth Fonteneau Senior Wellness Center, 3531 Georgia Avenue, NW
Presentation - Financial fraud and prevention as it relates to seniors.
14
5
May 10, 2013
Mayor’s Age-Friendly City Senior Symposium
Omni Shoreham Hotel, 2500 Calvert Street, NW
Presentation and Information Booth - Elder Abuse and Fraud
60
7
May 14, 2013
Banking on Our Future Program at HD Woodson-2013
HD Woodson High School, 540 55th Street, NE
Presentation - Power of Credit/ Basic Investments
14
Financial Literacy Day Dunbar High School, 1301 Presentation – Financial
WARD EVENT DATE EVENT/PROGRAM LOCATION FOCUS #PPL
1 May 16, 2013 of Service New Jersey Avenue, NW Literacy 20
8
May 17, 2013
United Planning Organization's Foster Grandparent Program
Matthews Memorial Baptist Church, 2616 Martin Luther King Jr. Avenue, SE
Presentation - Financial fraud and prevention as it relates to seniors.
124
2
June 1, 2013
5th Annual Housing Expo
Walter E. Washington Convention Center, 801 Mt. Vernon Place, NW
Presentation - Foreclosure Mediation Program
17
2
June 4, 2013
Congresswoman Eleanor Holmes Norton’s Small Business Fair
Walter E. Washington Convention Center, 801 Mt. Vernon Place, NW
Presentation - Small Business Initiative and Small Business Insurance
80
7
June 12, 2013
Senior Financial and Insurance Awareness Day
Washington Seniors Wellness Center, 3001 Alabama Avenue, SE
Presentation - information on avoiding senior financial scams
25
4
June 18, 2013
Senior Financial Fraud Prevention Presentation
Hattie Holmes Senior Wellness Center, 324 Kennedy Street, NW
Presentation – Financial fraud and prevention as it relates to seniors.
35
6
June 27, 2013
Building Capacity for Success
One Judiciary Square, 441 4th Street, NW
Presentation - Small Business Initiative
100
7
June 29, 2013
Ward 7 Economic Development Summit
H.D. Woodson High School, 540 55th Street, NE
Information Booth – Information on DISB resources and services
N/A
3
July 29, 2013
Senior Financial and Insurance Awareness Day
Iona Senior Services Center, St. Alban’s Episcopal Church, 3001 Wisconsin Avenue, NW
Presentation – Making the best insurance and financial choices.
33
7
August 6, 2013
Youth Financial Education Listening Session
DC Department of Employment Services, Minnesota Avenue
Presentation - Local youth financial education initiatives.
29
6
August 14, 2013
Senior Financial Fraud Prevention Presentation
Hayes Senior Wellness Center, 500 K Street, NE
Presentation - Financial fraud and prevention as it relates to seniors.
32
3
August 21, 2013
Senior Financial Fraud Prevention Presentations
4200 Connecticut Avenue, NW, Bldg. 32, Room 203
Presentation - Financial fraud and prevention as it relates to seniors.
90
WARD EVENT DATE EVENT/PROGRAM LOCATION FOCUS #PPL
7
August 21, 2013
Reverse Mortgage and Home Equity Loan Presentation
Washington Seniors Wellness Center, 3001 Alabama Avenue, SE
Presentation – Reverse Mortgages and Home Equity Loans
23
2
August 29, 2013
Senior Fraud Presentation
U.S. Attorney’s Office, 555 4th Street, NW
Presentation - Financial fraud and prevention as it relates to seniors.
12
7
September 9, 2013
AARP Financial Fraud Presentation
Jones Memorial Methodist Church, 4625 G Street, SE
Presentation - Financial fraud and prevention as it relates to seniors.
15
4
September 18, 2013
AARP Financial Fraud Presentation
Peoples Congregational Church, 4704 13th St, NW
Presentation - Financial fraud and prevention as it relates to seniors.
44
8
September 19, 2013
2013 Senior Feast & Health Expo
Oxon Run Park, 700 Valley Avenue, SE
Information Booth – Information on DISB resources and services as it relates to seniors
N/A
8
September 25, 2013
Senior Financial and Insurance and Awareness Day
Overlook Apartment, 635 Edgewood Street, NE
Presentation – Making the best insurance and financial choices.
51
2
September 25, 2013
Senior Financial Fraud Prevention Presentation to the Asian Community
Asian Pacific Islander, 417 G Street, NW
Presentation – Financial Literacy
10
6
September 26, 2013
CFPB Financial Education
DC Office of Human Services, 64 New York Avenue, NW
Presentation – Trained case workers on Financial Literacy
26
2
September 28, 2013
6th Annual Tenant and Tenant Association Summit
Kellogg Center at Gallaudet University, 800 Florida Avenue, NW
Presentation and Exhibit Booth – DISB services and resources
110
4 September 30, 2013
6th Anniversary Health Fair
Hattie Holmes Senior Wellness Center, 324 Kennedy Street, NW
Information Booth – Information on DISB resources and services as it relates to seniors 55
4 October 2, 2013
Senior Financial and Insurance Awareness Day
Hattie Holmes Senior Wellness Center, 324 Kennedy Street, NW
Presentation – Making the best insurance and financial choices. 92
WARD EVENT DATE EVENT/PROGRAM LOCATION FOCUS #PPL
6 October 8, 2013 AARP Financial Fraud Presentation
Liberty Baptist Church, 527 Kentucky Avenue, SE
Presentation - Financial fraud and prevention as it relates to seniors.
10
4 October 21, 2013
AARP Financial Fraud Presentation
Peoples Congregational Church, 4704 13th Street, NW
Presentation - Financial fraud and prevention as it relates to seniors. 35
7 October 24, 2013
Community Reinvestment Act (CRA) Listening Session
Marshall Heights Community Development Organization, 3939 Benning Rd., NE
Discussion - Local financial education initiatives 26
1 November 2, 2013
2013 Metro Washington Financial Planning Day
Columbia Heights Educational Campus, 3101 16th Street, NW
Presentation – Discussed the department’s role in protecting consumer financial interest. 200
7 November 7, 2013
Banking on Our Future
HD Woodson Senior High School, 540 55th St NE
Presentation – Basics of Budgeting and Banking 16
2 November 7, 2013
Continuing Legal Education
D.C. Bar Conference Center, 1101 K Street, NW
Panel discussion - focusing on the impact of the new legislation and changes in the process 80
7 November 12, 2013
Banking on Our Future
HD Woodson Senior High School, 540 55th St NE
Presentation – Fundamentals of Credit 20
5 November 18, 2013
AARP Financial Fraud Presentation
Northeastern Presbyterian Church, 2112 Varnum St, NE
Presentation - Financial fraud and prevention as it relates to seniors. 35
6 November 20, 2013
AARP Financial Fraud Presentation
River Park Coop, 1301 Delaware Avenue, SW
Presentation - Financial fraud and prevention as it relates to seniors 28
7 November 21, 2013
Banking on Our Future
HD Woodson Senior High School, 540 55th St NE
Presentation – Savings and Investing 16
2 November 23, 2013
DC Health Link City-wide Information Day and Enrollment Fair
Martin Luther King Memorial Library, 901 G Street, NW
Information Table – Department’s role in protecting consumer financial interest and avoiding health-care-exchange scams N/A
2 November 25, 2013
AARP Financial Fraud Presentation
Penn. Avenue Baptist Church, 300 Pennsylvania Avenue, SE
Presentation - Financial fraud and prevention as it relates to seniors 73
WARD EVENT DATE EVENT/PROGRAM LOCATION FOCUS #PPL
6 November 25, 2013
2nd Annual DC to Africa Business Symposium
One Judiciary Square, 441 4th Street, NW
Presentation – D.C. Collateral Support Program 120
2 December 7, 2013
Moneywise Financial Empowerment Tour
6 December 19, 2013
2013 Mayor's Annual Senior Holiday Celebration
D.C. Armory located 2001 East Capitol St, SE
Information Booth - Financial Fraud and Prevention as it relates to seniors.
N/A
1 December 11, 2013
AFSCME District Council 20 Retirees Chapter 1724 Kalorama Road, NW
Presentation - Understanding Insurance, especially health insurance when retiring 8
6 December 12, 2013
Get More BANG for your Buck; How to Prepare for Holiday Spending on a Limited Budget
Community Family Life Services, 305 E Street, NW
Presentation – Saving and Budgeting 9
6 January 23, 2014
Tyler House Tenant Association Presentation
Tyler House Apartments, 1200 North Capital Street, NW (across Housing Authority)
Presentation - Renter’s Insurance 19
DISB/Bank on DC FY13
WARD Location EVENT DATE EVENT TITLE NUMBER OFATTENDEES
October Classes7 3744 1/2 Hayes Street, NE
Washington, DC 20019Tuesday, October 2, 2012 Empowerment Series (Bank on DC/ Community
Preservation Development Corporation- CPDC)11
8 3744 1/2 Hayes Street, NEWashington, DC 20019
Tuesday, October 9, 2012 Empowerment Series (Bank on DC/ CPDC) 13
5 601 Edgewood Street, NEWashington, DC 20017
Tuesday, October 16, 2012 Empowerment Series (Bank on DC/ CPDC) 8
3 50 Irving St. NW.Washington, DC 20422
Tuesday, October 16, 2012 VALOR - National Veteran Center -NVC (Mayors Office ofVeteran Affairs- OVA/ Bank on DC)
6
5 1500 Franklin St NE,Washington, DC 20018
Thursday, October 18, 2012 VALOR - Community Resource & Referral Center- CRRC(Bank on DC/ Mayors Office of Veteran Affairs- OVA)
10
5 601 Edgewood Street, NEWashington, DC 20017
Friday, October 19, 2012 Money Management Basics w/United Bank 13
7 4058 Minnesota Avenue, NE,Washington, DC 20019
October classes Project Empowerment - Department of EmploymentServices (DOES)
70
October 2012- Subtotal 131
November Classes5 Gallaudet University 800 Florida
Ave NE, Washington, DC 20002Monday, November 4, 2012 Path 2 Work - (Veteran/VALOR) - part 1 8
5 Gallaudet University 800 FloridaAve NE, Washington, DC 20002
Monday, November 4, 2012 Path 2 Work - (Veteran/VALOR) - part 2 13
8 3744 1/2 Hayes Street, NEWashington, DC 20019
Tuesday, November 6, 2012 Empowerment Series (Bank on DC/ CPDC) 7
7 3744 1/2 Hayes Street, NEWashington, DC 20019
Tuesday, November 13, 2012 Empowerment Series (Bank on DC/ CPDC) 11
7 4058 Minnesota Avenue, NE,Washington, DC 20019
November classes Project Empowerment (DOES) 28
November 2012-Subtotal
67
December Classes5 50 Irving St. NW.
Washington, DC 20422Thursday, December 6, 2012 Community Resource & Referral Center- CRRC (VALOR
Program - Mayors Office of Veteran Affairs/ Bank on DC)4
5 50 Irving St. NW.Washington, DC 20422
Thursday, December 13, 2012 Washington VA Hospital (VALOR Program - MayorsOffice of Veteran Affairs/Bank on DC)
10
7 4058 Minnesota Avenue, NE,Washington, DC 20019
December Classes Project Empowerment (DOES) 64
Page 1 of 7
WARD Location EVENT DATE EVENT TITLE NUMBER OFATTENDEES
December 2012-Subtotal
78
January Classes5 50 Irving St. NW.
Washington, DC 20422Thursday, January 17, 2013 Community Resource & Referral Center - CRRC (VALOR
Program - Mayors Office of Veteran Affairs/Bank on DC)2
5 50 Irving St. NW.Washington, DC 20422
Thursday, January 3, 2013 Washington VA Hospital (VALOR Program - MayorsOffice of Veteran Affairs/Bank on DC)
6
6 100 Peabody St NW,Washington, DC 20011
Tuesday, January 29, 2013 Capital City Charter School (Everfi online) 29
7 4058 Minnesota Avenue, NE,Washington, DC 20019
January Classes Project Empowerment (DOES) 18
January 2013- Subtotal 55
February Classes7 4058 Minnesota Avenue, NE,
Washington, DC 20019February Classes Project Empowerment (DOES) 15
February 2013-Subtotal
15
March Classes5 50 Irving St. NW.
Washington, DC 20422Thursday, March 7, 2013 Community Resource & Referral Center (VALOR Program
- Mayors Office of Veteran Affairs/Bank on DC)3
5 50 Irving St. NW.Washington, DC 20422
Thursday, March 21, 2013 Washington VA Hospital (VALOR Program - MayorsOffice of Veteran Affairs/Bank on DC)
15
7 5002 Sheriff Rd NE,Washington, DC 20019
Tuesday, March 19, 2013 Veterans on the Rise (VALOR Program - Mayors Office ofVeteran Affairs/Bank on DC)
3
7 4058 Minnesota Avenue, NE,Washington, DC 20019
March classes Project Empowerment (DOES) 58
March 2013- Subtotal 79
April Classes6 Union Center Plaza, 810 First
Street NESuite 701Washington, DC 20002
Wednesday, April 10, 2013 Lunch and Learn: How much do you know about interestrates, credit cards, and loans?
16
6 Union Center Plaza, 810 First Wednesday, April 17, 2013 Lunch and Learn: Making your Money Grow 116 Union Center Plaza, 810 First Wednesday, April 24, 2013 Lunch and Learn: Are you under-insured? 17
Page 2 of 7
WARD Location EVENT DATE EVENT TITLE NUMBER OFATTENDEES
1 Frank D. Reeves MunicipalCenter2000 14th Street NW
Friday, April 26, 2013 Oportunidades Tour 2013- Aprenda a Manajar susFinanzas y Su Credito (Bank on DC/Office on LatinoAffairs- OLA)
16
4 1222 Rhode Island Ave NEWashington, DC
Saturday, April 27, 2013 Oportunidades Tour 2013- Aprenda a Manajar susFinanzas y Su Credito (Bank on DC/Office on LatinoAffairs- OLA)
25
5 50 Irving St. NW.Washington, DC 20422
Thursday, April 4, 2013 VALOR - Community Resource & Referral Center (Bankon DC/ Mayors Office on Veteran Affairs- OVA)
5
5 50 Irving St. NW.Washington, DC 20422
Thursday, April 18, 2013 VALOR - Washington VA Hospital(Bank on DC/MayorsOffice on Veteran Affairs- OVA)
12
7 5002 Sheriff Rd NE,Washington, DC 20019
Tuesday, April 16, 2013 VALOR - Veterans on the Rise (Bank on DC/MayorsOffice on Veteran Affairs- OVA)
6
1 200 I Street, SE, Washington,DC 20003
Wednesday, April 17, 2013 Establishing Savings. Creating Revenue. ObtainingWealth - E.S.C.R.O.W. Program @ Foundations (Bank onDC/ Child and Family Services Agency - CFSA)
78
4 200 I Street, SE, Washington,DC 20004
Wednesday, April 17, 2013 Establishing Savings. Creating Revenue. ObtainingWealth - E.S.C.R.O.W. Program @ Family Matters (Bankon DC/ Child and Family Services Agency - CFSA)
19
7 200 I Street, SE, Washington,DC 20003
Wednesday, April 17, 2013 Establishing Savings. Creating Revenue. ObtainingWealth. - E.S.C.R.O.W. Program @ Office of YouthEmpowerment (Bank on DC/ Child and Family ServiceAgency - CFSA)
25
6 200 I Street, SE, Washington,DC 20003
Wednesday, April 17, 2013 Establishing Savings. Creating Revenue. ObtainingWealth. - E.S.C.R.O.W. Program @ CFSA (Bank onDC/Child and Family Services Agency - CFSA)
18
7 4058 Minnesota Avenue, NE,Washington, DC 20019
April classes Project Empowerment (DOES) 37
April 2013 - Subtotal 285
May Classes5 United Planning Organization
Petey Greene Ctr. 907Martin Luther King Jr Ave SE,Washington, DC 20032
Monday, May 13, 2013 Department of Human Services (DHS) - SWEAT EQUITYPROGRAM II - Basics of Banking & How to Choose aFinancial Institution
18
5 1100 Michigan Ave NE,Washington, DC 20017
Saturday, May 18, 2013 Office of the Chief Technology Officer (OCTO)Connect.DC Summit -"For The Love of Money" -Technology and Money
1 800 Euclid St NW, Washington,DC 20001
Thursday May 30, 2013 Jobs and Service Fair 50
7 4058 Minnesota Avenue, NE,Washington, DC 20019
May Classes Project Empowerment (DOES) 44
May 2013 - Subtotal 112
Page 3 of 7
WARD Location EVENT DATE EVENT TITLE NUMBER OFATTENDEES
June Classes2 801 Mt Vernon Pl NW,
Washington, DC 20001Saturday June 1st, 2013 Department of Housing and Community Development
(DHCD) 5th Annual Expo- "Workshop Panel"75
2 801 Mt Vernon Pl NW,Washington, DC 20001
Saturday June 1st, 2013 DHCD 5th Annual Expo- Financial Virtual Arcade Fair 32
1 Frank D. Reeves MunicipalCenter2000 14th Street NW
Thursday June 20th, 2013 District Government Employees Federal Credit Union(DGEFCU) Annual Meeting
42
2 800 17th Street, NW – 12th floor Tuesday June 25th, 2013 PNC Forum-Reaching the Underbanked Community 301 Iglesias La Luz Del Mundo 1222
Rhode Island Ave NEWashington, DC
Saturday June 29th, 2013 Oportunidades Tour 2013- Jornada Del Credito (Bank onDC/Office on Latino Affairs- OLA)
62
7 4058 Minnesota Avenue, NE,Washington, DC 20019
June Classes Project Empowerment (DOES) 38
June 2013 - Subtotal 279
July ClassesMayor Vincent C. Gray Summer Youth EmploymentProgram 2013- Young Money Managers Initiative (YMM)
6 651 Pennsylvania Avenuesoutheast
Monday, July 1st, 2013 SYEP-YMM Initiative @ Metro TeenAIDS 25
6 Mt. Carmel Baptist Church 9013rd St NW
Tuesday, July 2nd, 2013 SYEP-YMM Initiative @ High Tea Society 15
8 2041 MLK Ave SE Suite M2 Tuesday, July 2nd, 2013 SYEP-YMM Initiative @ Urban Education Plus inc. 638 3999 8th St SE Fairview Hope Wednesday, July 3rd, 2013 SYEP-YMM Initiative @Field of Dreams 176 1700 East Capitol St NE Friday, July 5th, 2013 SYEP-YMM Initiative @ Capitol City Area Health 406 1700 East Capitol St NE Friday, July 5th, 2013 SYEP-YMM Initiative @ Capitol City Area Health 157 2500 Benning Road NE Friday, July 5th, 2013 SYEP-YMM Initiative @ Teens Count 257 2500 Benning Road NE Friday, July 5th, 2013 SYEP-YMM Initiative @ Teens Count 207 2500 Benning Road NE Friday, July 5th, 2013 SYEP-YMM Initiative @ Teens Count 207 2500 Benning Road NE Friday, July 5th, 2013 SYEP-YMM Initiative @ Teens Count 258 3401 4th St SE, Washington,
DC 20032Monday, July 8th, 2013 SYEP-YMM Initiative @ Ballou Senior High 30
7 540 55th St NE, Washington,DC 20019
Monday, July 8th, 2013 SYEP-YMM Initiative @HD Woodson 25
1 300 Bryant St. NW Monday, July 8th, 2013 SYEP-YMM Initiative @ Washington Metropolitan 251 1470 Irving St NW Tuesday, July 9, 2013 SYEP-YMM Initiative @ Barbara Chamber 125 601 Edgewood St NE
Washington DCTuesday, July 9, 2013 SYEP-YMM Initiative @ Beacon House 14
7 301 49th St NE, Washington,DC 20019
Tuesday, July 9, 2013 SYEP-YMM Initiative @ Kelly Miller Middle School 20
Page 4 of 7
WARD Location EVENT DATE EVENT TITLE NUMBER OFATTENDEES
7 4800 Meade St NE,Washington, DC 20019
Tuesday, July 9, 2013 SYEP-YMM Initiative @ Ron Brown Middle School 20
7 4800 Meade St NE,Washington, DC 20019
Wednesday, July 10th, 2013 SYEP-YMM Initiative @ Jamal Harris Foundation 25
7 301 49th St NE, Washington,DC 20019
Wednesday, July 10th, 2013 SYEP-YMM Initiative @ Kelly Miller Middle School 20
6 1022 Maryland Ave NE,Washington, DC 20002
Thursday July 11th, 2013 SYEP-YMM Initiative @ Sasha Bruce 11
8 1601 16th St SE, Washington,DC 20020
Thursday July 11th, 2013 SYEP-YMM Initiative @ Anacostia High School 20
8 3401 4th St SE, Washington,DC 20032
Thursday July 11th, 2013 SYEP-YMM Initiative @Ballou Senior High School 20
7 4800 Meade St NE,Washington, DC 20019
Thursday July 11th, 2013 SYEP-YMM Initiative @ Ron Brown Middle School 20
7 5500 Eads St., NE Friday July 12th, 2013 SYEP-YMM Initiative @ HD Woodson 251 300 Bryant St. NW Friday, July 12th, 2013 SYEP-YMM Initiative @ Washington Metropolitan 257 5001 Central Ave., SE Tuesday July 16th, 2013 SYEP-YMM Initiative @ Advisory Neighborhood 706 207 4328 Gorman Terrace SE,
Washington DC 20019Wednesday July 17th, 2013 SYEP-YMM Initiative @ Children's Focus Foundation 13
1 1420 Columbia Rd NW,Washington, DC 20009
Thursday July 18th, 2013 SYEP-YMM Initiative @ CentroNia (DGEFCU) 25
5 62 T St NE Friday July 19th, 2013 SYEP-YMM Initiative @ Powell House Project 406 640 10th Street NE
Sherwood Recreation CenterFriday, July 19th, 2013 SYEP-YMM Initiative @ Washington DC Fashion
Foundation22
7 2500 Benning Rd NE Friday, July 19th, 2013 SYEP-YMM Initiative @ Spingarn Senior High 371 2901 14th Street, NW
Washington, DC, 20009Monday July15 -Friday July 19th 2013 Greater Washington Urban, HEWFCU and Bank on DC
Youth Financial Boot camp25
1 2616 Georgia Ave NW Monday July 22nd, 2013 SYEP-YMM Initiative @ MOMIES TLC 88 AME Allen Church: 2498
Alabama Ave SETuesday July 23rd, 2013 SYEP-YMM Initiative @ Calvin Woodland Sr. Foundation 30
8 AME Allen Church: 2498Alabama Ave SE
Tuesday July 23rd, 2013 SYEP-YMM Initiative @ Calvin Woodland Sr. Foundation 30
8 1800 Martin Luther King Jr. AveSE
Tuesday July 23rd, 2013 SYEP-YMM Initiative @ DCHD 30
8 200 I Street, SE Wednesday July 24th, 2013 SYEP-YMM Initiative @ OCTO 151 1420 Columbia Rd NW,
Washington, DC 20009Wednesday July 24th, 2013 SYEP-YMM Initiative @ CentroNia (DGEFCU) 25
1 2400 Sixth St NW, Washington,DC 20059-Howard Ballroom:Blackburn Center
Thursday July 25th, 2013 SYEP-YMM Initiative @ MYLI Alpha Level 20
1 2400 Sixth St NW, Washington,DC 20059-Howard Ballroom:Blackburn Center
Thursday July 25th, 2013 SYEP-YMM Initiative @ MYLI Alpha Level 20
1 2400 Sixth St NW, Washington,DC 20059-Howard Ballroom:Blackburn Center
Thursday July 25th, 2013 SYEP-YMM Initiative @ MYLI Alpha Level 30
Page 5 of 7
WARD Location EVENT DATE EVENT TITLE NUMBER OFATTENDEES
6 1333 H St, NE, Washington, DC20002
Friday July 26th, 2013 SYEP-YMM Initiative @ Joy of Motion Dance Center 25
6 1333 H St, NE, Washington, DC20002
Friday July 26th, 2013 SYEP-YMM Initiative @ Joy of Motion Dance Center 25
1 2901 14th Street, NWWashington, DC, 20009
Monday July 22nd -Friday July 26th 2013 Greater Washington Urban, HEWFCU and Bank on DCYouth Financial Bootcamp
25
5 Catholic University: HannahHall 620 Michigan Ave NE,Washington, DC 20064
Monday July 29th, 2013 SYEP-YMM Initiative @ MYLI Omega Level 19
5 Catholic University: HannahHall 620 Michigan Ave NE,Washington, DC 20065
Monday July 29th, 2013 SYEP-YMM Initiative @ MYLI Omega Level 20
5 Catholic University: HannahHall 620 Michigan Ave NE,Washington, DC 20066
Monday July 29th, 2013 SYEP-YMM Initiative @ MYLI Omega Level 20
5 3225 8th St NE, Washington,DC 20017
Monday July 29th, 2013 SYEP-YMM Initiative @ Dance Place 25
1 1420 Columbia Rd NW,Washington, DC 20009
Wednesday July 31st, 2013 SYEP-YMM Initiative @ CentroNia (DGEFCU) 20
7 2901 14th Street, NWWashington, DC, 20009
July classes (empowerment series) Greater Washington Urban League 35
Subtotal July 2013- 1181
August Classes
5 78 U St NW, Washington, DC20001
Thursday, August 1st, 2013 SYEP-YMM Initiative @ Young Ladies of Tomorrow 20
2 441 4th Street, NW, Suite 330South, Washington, DC 20001
Thursday, August 1st, 2013 SYEP-YMM Initiative @ District of Columbia HumanResource (DCHR)
12
2 1850 K St NW, Washington, DC20006
Saturday August 3rd, 2013 E*TRADE Community Financial EXPO 15
5 3225 8th St NE, Washington,DC 20017
Monday August 5th, 2013 SYEP-YMM Initiative @ Dance Place 9
7 4058 Minnesota Avenue, NE,Washington, DC 20019
Tuesday August 6th, 2013 Department of Insurance, Securities & Banking(DISB)/Consumer Financial Protection Bureau(CFPB)/Bank on DC Financial Education ListeningSession for Youth
27
1 1420 Columbia Rd NW,Washington, DC 20009
Wednesday August 7th, 2013 SYEP-YMM Initiative @ CentroNia (DGEFCU) 20
7 4058 Minnesota Avenue, NE,Washington, DC 20019
August classes Project Empowerment (DOES) 26
all wards 3700 O St NW, Washington, DC Summer classes Georgetown University Financial Education Classes 25Subtotal July 2013- 154
Page 6 of 7
WARD Location EVENT DATE EVENT TITLE NUMBER OFATTENDEES
September Classes5 1222 Rhode Island Ave NE
Washington, DCMonday September 9th, 2013 Clearpoint-Oportunidades Tour Panel 63
5 64 New York Avenue, NE, 6thFloor, Washington, DC 20002
Thursday, September 26, 2013 Department of Human Services(DHS) Case ManagersTraining "Your Money, Your Goals" (Consumer FinancialProtection Bureau(CFPB)/ Bank on DC/ Department ofInsurance, Securities & Banking- DISB)
26
7 4058 Minnesota Avenue, NE,Washington, DC 20019
September classes Project Empowerment (DOES) 37
Subtotal September2013-
126
FY 2013 TOTAL 2562
Page 7 of 7
DISB-Bank on DC FY14
WARD Location EVENT DATE EVENT TITLE NUMBER OFATTENDEES
October Classes6 450 H Street, NW,
Washington, DC 20001Monday, October 1st, 2013 Department of Youth Rehabilitation Services -District
Government Employees Federal Credit Union(DGEFCU)3 Day Workshop Orientation
20
6 450 H Street, NW,Washington, DC 20001
Tuesday, October 2nd, 2013 DYRS-DGEFCU 3 Day Workshop Orientation 18
6 450 H Street, NW,Washington, DC 20001
Wednesday October 3rd, 2013 DYRS-DGEFCU 3 Day Workshop Orientation 18
6 450 H Street, NW,Washington, DC 20001
Wednesday October 23rd, 2013 DYRS-DGEFCU 3 Day Workshop Orientation 5
6 450 H Street, NW,Washington, DC 20001
Thursday October 24th, 2013 DYRS-DGEFCU 3 Day Workshop Orientation 3
7 1300 44th Street NE,Washington D.C. 20019
Tuesday October 22nd, 2013 DC Promise Neighborhood Initiative - DCPNI ParentAcademy Classes
4
7 1300 44th Street NE,Washington D.C. 20019
Thursday October 24, 2013 DCPNI Parent Academy Classes 5
7 1300 44th Street NE,Washington D.C. 20019
Tuesday October 29, 2013 DCPNI Parent Academy Classes cancelled
7 1300 44th Street NE,Washington D.C. 20019
Thursday October 31st, 2013 DCPNI Parent Academy Classes cancelled
7 3939 Benning Road NEWashington DC
Community Reinvestment Act Listening Session (DISB/Bank on DC/ Federal Deposit Insurance Corporation-FDIC)
26
7 4058 Minnesota Avenue,NE, Washington, DC20019
October classes Project Empowerment (DOES) 44
Subtotal October2013-
143
November Classes7 1300 44th Street NE,
Washington D.C. 20019November 7th, 2013 DCPNI Parent Academy Classes 1
7 1300 44th Street NE,Washington D.C. 20019
November 12th, 2013 DCPNI Parent Academy Classes
7 1300 44th Street NE,Washington D.C. 20019
November 14th, 2013 DCPNI Parent Academy Classes 1
7 1300 44th Street NE,Washington D.C. 20019
November 19th, 2013 DCPNI Parent Academy Classes cancelled
Page 1 of 3
WARD Location EVENT DATE EVENT TITLE NUMBER OFATTENDEES
7 1300 44th Street NE,Washington D.C. 20019
November 21st, 2013 DCPNI Parent Academy Classes cancelled
6 450 H Street, NW,Washington, DC 20001
November 5th, 2013 DYRS-DGEFCU 3 Day Workshop Orientation 5
6 450 H Street, NW,Washington, DC 20001
November 6th, 2013 DYRS-DGEFCU 3 Day Workshop Orientation 12
6 450 H Street, NW,Washington, DC 20001
November 7th, 2013 DYRS-DGEFCU 3 Day Workshop Orientation 7
6 450 H Street, NW,Washington, DC 20001
November 19th, 2013 DYRS-DGEFCU 3 Day Workshop Orientation 11
6 450 H Street, NW,Washington, DC 20001
November 20th, 2013 DYRS-DGEFCU 3 Day Workshop Orientation 16
6 450 H Street, NW,Washington, DC 20001
November 21st, 2013 DYRS-DGEFCU 3 Day Workshop Orientation 22
7 4058 Minnesota Avenue,NE, Washington, DC20019
November Class (11th) Project Empowerment (DOES) 43
1 3101 16th Street, NWWashington DC 20010
Metro Washington Financial Planning Day 200
6 DC Armory 2001 EastCapital Street
DC National Guard Challenge Academy 51
Subtotal November2013-
369
December Classes7 1300 44th Street NE,
Washington D.C. 20019Tuesday, December 3rd, 2013 DCPNI Parent Academy Classes 0
7 1300 44th Street NE,Washington D.C. 20019
Thursday, December 5th, 2013 DCPNI Parent Academy Classes 0
Virtual Wednesday, December 18th, 2013 PNC Webinar 53 50 Irving St. NW.
Washington, DC 20422Wednesday, December 18th 2013 VALOR - National Veterans Center 9
6 450 H Street, NW,Washington, DC 20001
Monday, December 16th, 2013 DYRS Family Support Group 14
7 4058 Minnesota Avenue,NE, Washington, DC20019
December Class (23rd) Project Empowerment (DOES) 57
7 4058 Minnesota Avenue,NE, Washington, DC20019
December Class (2nd) Project Empowerment (DOES) 42
Page 2 of 3
WARD Location EVENT DATE EVENT TITLE NUMBER OFATTENDEES
Subtotal December2013 -
127
January Classes4 3700 10th Street, NW,
Washington, DC, 20010January 8th ESCROW - Quarterly class 10
Virtual January 7th ESCROW Monthly webinar 96 305 E Street NW,
Washington, DC 20001January 11th Family 2 Family Mentoring Program 9
Subtotal January2014 -
28
FY 2014 TOTAL 667
Page 3 of 3
Name Address City Zip WardAmalgamated Bank 1825 K Street, NW Washington 20006 2
American Bank 5600 Connecticut Avenue, NW Washington 20015 3
American Bank 1301 K St, NW Washington 20005 2
Bank of America, National Association 3100 14th Street, NW Washington 20010 1
Bank of America, National Association 600 14 Th St, NW Washington 20005 2
Bank of America, National Association 915 Rhode Island Avenue, NE Washington 20018 5
Bank of America, National Association 1501 Pennsylvania Avenue, NW Washington 20006 2
Bank of America, National Association 901 K Street, NW Ste 101 Washington 20001 2
Bank of America, National Association 1339 Wisconsin Avenue, NW Washington 20007 3
Bank of America, National Association 888 17th Street, NW Washington 20006 2
Bank of America, National Association 5911 Blair Road, NW Washington 20011 4
Bank of America, National Association 3821 Minnesota Avenue, NE Washington 20019 7
Bank of America, National Association 3401 Connecticut Avenue, NW Washington 20008 3
Bank of America, National Association 3500 Georgia Avenue, NW Washington 20010 1
Bank of America, National Association 700 13th Street, NW Washington 20005 2
Bank of America, National Association 201 Pennsylvania Avenue, SE Washington 20003 6
Bank of America, National Association 722 H Street, NE Washington 20002 6
Bank of America, National Association 55 M Street Southeast, Suite 101 Washington 20003 6
Bank of America, National Association 5201 Wisconsin Avenue, NW Washington 20015 3
Bank of America, National Association 4301 49th Street, NW Washington 20016 3
Bank of America, National Association 2631 Connecticut Avenue, NW Washington 20008 3
Bank of America, National Association 2201 C Street, NW Washington 20520 2
Bank of America, National Association 4201 Connecticut Avenue, NW Washington 20008 3
Bank of America, National Association 3 Dupont Circle, NW Washington 20036 2
Bank of America, National Association 2001 Pennsylvania Avenue, NW Washington 20006 2
Bank of America, National Association 1835 Columbia Road, NW Washington 20009 1
Bank of America, National Association 4675 South Capitol Street, SW Washington 20032 8
Bank of America, National Association 1801 K Street, NW Washington 20006 2
Bank of America, National Association The Pentagon Washington 20301
Bank of America, National Association 1090 Vermont Avenue, NW Washington 20005 2
Bank of America, National Association 1001 Pennsylvania Avenue, NW Washington 20004 2
Bank of America, National Association 2100 Martin Luther King Jr. Avenue, SE Washington 20020 8
Bank of America, National Association 3131 Mt. Pleasant Street, NW Washington 20010 1
Bank of Georgetown 1001 Wisconsin Avenue, NW Washington 20007 3
Bank of Georgetown 1101 Connecticut Avenue, NW Washington 20036 2
Bank of Georgetown 1350 I Street, NW Washington 20005 2
Bank of Georgetown 444 8th Street, NW Washington 20004 2
Bank of Georgetown 1301 U Street, NW Washington 20009 1
Branch Banking and Trust Company 1099 New York Ave, NW Ste 100 Washington 20001 2
Branch Banking and Trust Company 3101 14th Street, NW Washington 20010 1
Branch Banking and Trust Company 1801 Adams Mill Road, NW Washington 20009 1
Branch Banking and Trust Company 614 H Street, NW Washington 20001 2
Branch Banking and Trust Company 317 Pennsylvania Avenue SE Washington 20003 6
Branch Banking and Trust Company 360 H Street, NE Washington 20002 6
Branch Banking and Trust Company 1909 K Street, NW Washington 20006 2
Branch Banking and Trust Company 5200 Wisconsin Avenue, NW Washington 20015 3
Branch Banking and Trust Company 815 Connecticut Avenue, NW Washington 20006 2
Appendix 19
Department of Insurance, Securities and Banking
Banks with Ward Location
Branch Banking and Trust Company 1730 Rhode Island Avenue, NW Washington 20036 2
Branch Banking and Trust Company 1365 Wisconsin Avenue, NW Washington 20007 3
Branch Banking and Trust Company 601 13th Street, NW Washington 20005 2
Branch Banking and Trust Company 1804 14th Street, NW Washington 20009 2
Capital Bank, National Association 1776 I Street, NW Washington 20006 2
Capital One, National Association 1700 K Street, NW Washington 20006 2
Capital One, National Association 3800 Reservoir Road, NW Washington 20057 2
Capital One, National Association 901 New York Avenue Washington 20001 2
Capital One, National Association 701 Pennsylvania Avenue, NW Washington 20004 2
Capital One, National Association 1075 5th St, NW Washington 20001 2
Capital One, National Association 1100 New Jersey Avenue, SE Washington 20003 6
Capital One, National Association 1200 F Street, NW Washington 20004 2
Capital One, National Association 336 Pennsylvania Avenue, SE Washington 20003 6
Capital One, National Association 85 H Street, NW Washington 20001 6
Capital One, National Association 4860 Massachusetts Avenue, NW Washington 20016 3
Capital One, National Association 2831 Alabama Avenue, SE Washington 20020 7
Capital One, National Association 4000 Wisconsin Avenue, NW Washington 20016 3
Capital One, National Association 1800 M Street, NW Washington 20036 2
Capital One, National Association 1545 Wisconsin Avenue, NW Washington 20007 3
Capital One, National Association 5714 Connecticut Avenue, NW Washington 20015 3
Capital One, National Association 1850 K Street, NW Washington 20006 2
Capital One, National Association 925 15th Street, NW Washington 20005 2
Capital One, National Association 1717 Pennsylvania Avenue, NW Washington 20006 2
Capital One, National Association 1100 17th Street, NW Washington 20036 2
Capital One, National Association 3519 Connecticut Avenue Washington 20008 3
Capital One, National Association 4400 Massachusetts Avenue, NW Washington 20016 3
Cardinal Bank 1825 Wisconsin Avenue, NW Washington 20007 3
Cardinal Bank 1776 K Street, NW Washington 20006 2
Carolina Premier Bank 1299 Pennsylvania Avenue, NW Washington 20004 2
Citibank, National Association 1717 K Street, NW Washington 20036 2
Citibank, National Association 1101 Pennsylvania Avenue NW Washington 20004 2
Citibank, National Association 40 Massachusetts Avenue, NE, Suite 105 Washington 20002 6
Citibank, National Association 2221 I Street, NW Washington 20052 2
Citibank, National Association 3241 14th Street, NW Washington 20010 1
Citibank, National Association 750 9th St.NW Suite 101 Washington 20001 2
Citibank, National Association 1101 Pennsylvania Ave, NW, 9th Floor Washington 20004 2
Citibank, National Association 1901 Wisconsin Ave., NW Washington 20007 3
Citibank, National Association 1400 G Street, NW Washington 20005 2
Citibank, National Association 5700 Connecticut Avenue, NW Washington 20015 3
Citibank, National Association 1000 Connecticut Avenue, NW Washington 20036 2
Citibank, National Association 5250 Macarthur Boulevard, NW Washington 20016 3
Citibank, National Association 5001 Wisconsin Avenue, NW Washington 20016 3
Citibank, National Association 1060 Brentwood Road, NE Washington 20018 5
Citibank, National Association 1225 Connecticut Avenue, NW Washington 20036 2
Citibank, National Association 1000 Vermont Avenue, NW Washington 20005 2
Citibank, National Association 3917 Minnesota Avenue, NE Washington 20019 7
Citibank, National Association 600 Pennsylvania Avenue, SE Washington 20015 6
Citibank, National Association 1775 Pennsylvania Avenue, NW Washington 20006 2
City First Bank of D.C., National Association 1432 U Street, NW Washington 20009 1
Colombo Bank 1006 E Street, NW Washington 20004 2
Colombo Bank 1660 L Street, NW Washington 20036 2
Colombo Bank 1301 9th Street, NW Washington 20001 2
Congressional Bank 2101 K Street Northwest Washington 20037 2
E*TRADE Savings Bank 1850 K Street, NW, Suites A & B Washington 20006 2
EagleBank 1044 Wisconsin Avenue NW Washington 20007 3
EagleBank 2001 K Street, NW Washington 20006 2
EagleBank 1228 Connecticut Avenue, NW Washington 20036 2
EagleBank 1425 K Street, NW Washington 20005 2
EagleBank 700 7th Street, NW Washington 20004 2
First-Citizens Bank & Trust Company 1717 Pennsylvania Ave Washington 20006 2
HSBC Bank USA, National Association 1130 Connecticut Avenue N W Washington 20036 2
HSBC Bank USA, National Association 1715 Wisconsin Avenue, NW Washington 20007 3
Industrial Bank 1800 Martin Luther King Jr. Ave, SE Washington 20020 8
Industrial Bank 2000 11th Street, NW Washington 20001 1
Industrial Bank 125 45th Street, NE Washington 20019 7
Industrial Bank 2000 14th Street, NW Washington 20009 1
Industrial Bank 1317 F Street, NW Washington 20004 2
Industrial Bank 4812 Georgia Avenue, NW Washington 20011 4
Invesco National Trust Company 575 7th Street Suite 450 Washington 20004 2
John Marshall Bank 4315 50th Street, NW Washington 20016 3
JPMorgan Chase Bank, National Association 800 Connecticut Avenue Washington 20006 2
Manufacturers and Traders Trust Company 555 12th Street NW Washington 20004 2
Manufacturers and Traders Trust Company 2865 Alabama Avenue, SE Washington 20020 7
Manufacturers and Traders Trust Company 1899 L Street, NW Washington 20036 2
Manufacturers and Traders Trust Company 5630 Connecticut Avenue, NW Washington 20015 3
Manufacturers and Traders Trust Company 2620 Connecticut Avenue, NW Washington 20008 3
Manufacturers and Traders Trust Company 6434 Georgia Avenue, NW Washington 20012 4
Manufacturers and Traders Trust Company 1680 K Street, NW Washington 20006 2
Manufacturers and Traders Trust Company 1420 Wisconsin Avenue Washington 20007 3
PNC Bank, National Association 800 17th Street, NW Washington 20006 2
PNC Bank, National Association 1400 K Street, NW Washington 20005 2
PNC Bank, National Association 1100 H Street, NW Washington 20005 2
PNC Bank, National Association 1331 Pennsylvania Avenue, NW Washington 20004 2
PNC Bank, National Association 1405 P Street, NW Washington 20005 2
PNC Bank, National Association 601 Penn Avenue, NW Washington 20004 2
PNC Bank, National Association 3806 12th Street, NE Washington 20017 5
PNC Bank, National Association 800 H Street, NE Washington 20002 6
PNC Bank, National Association 7601 Georgia Avenue, NW Washington 20012 4
PNC Bank, National Association 2000 Martin Luther King, Jr. Avenue, SE Washington 20020 8
PNC Bank, National Association 4835 Massachusetts Avenue, NW Washington 20016 3
PNC Bank, National Association 4100 South Capitol Street, SE Washington 20032 8
PNC Bank, National Association 5530 Connecticut Avenue, NW Washington 20015 3
PNC Bank, National Association 1348 Fourth Street, NE Washington 20002 5
PNC Bank, National Association 1913 Massachusetts Avenue, NW Washington 20036 2
PNC Bank, National Association 1201 Wisconsin Ave, NW Washington 20007 3
PNC Bank, National Association 4249 Wisconsin Avenue, NW Washington 20016 3
PNC Bank, National Association 1779 Columbia Road, NW Washington 20009 1
PNC Bank, National Association 3300 14th Street, NW Washington 20010 1
PNC Bank, National Association 833 7th Street, NW Washington 20001 2
PNC Bank, National Association 2600 Virginia Avenue, NW Washington 20037 2
PNC Bank, National Association 1920 L Street, NW Washington 20036 2
PNC Bank, National Association 5252 Wisconsin Avenue, NW Washington 20015 3
PNC Bank, National Association 1800 M Street, NW Washington 20036 2
PNC Bank, National Association 2501 Pennsylvania Avenue Washington 20037 2
PNC Bank, National Association 650 Pennsylvania Avenue, SE Washington 20003 6
PNC Bank, National Association 1919 Pennsylvania Avenue, NW Washington 20006 2
Premier Bank, Inc. 1130 Connecticut Avenue, NW, Suite 200 Washington 20036 2
Premier Bank, Inc. 50 Massachusetts Avenue, SE Washington 20002 6
Premier Bank, Inc. 1604 17th Street, NW Washington 20009 2
Premier Bank, Inc. 1501 K Street, NW Washington 20006 2
Presidential Bank, FSB 1660 K Street Washington 20006 2
State Bank of India (California) 2001 Pennsylvania Avenue, NW Washington 20006 2
SunTrust Bank 100 M Street, SE Washington 20003 6
SunTrust Bank 1855 Wisconsin Avenue, NW Washington 20007 3
SunTrust Bank 624 H Street, NW Washington 20001 2
SunTrust Bank 2250 M Street, NW Washington 20037 2
SunTrust Bank 900 17th St, NW Washington 20006 2
SunTrust Bank 1601 Maryland Avenue, Northeast Washington 20002 5
SunTrust Bank 2845 Alabama Avenue, SE Washington 20020 7
SunTrust Bank 1275 K Street, NW Washington 20005 2
SunTrust Bank 1250 U Street Ne Washington 20009 8
SunTrust Bank 1800 Columbia Road, NW Washington 20009 1
SunTrust Bank 1340 Good Hope Road, SE Washington 20020 8
SunTrust Bank 300 Pennsylvania Avenue, SE Washington 20003 6
SunTrust Bank 1150 Connecticut Avenue, NW Washington 20036 2
SunTrust Bank 5000 Connecticut Avenue, NW Washington 20008 3
SunTrust Bank 965 L'Enfant Plaza North, SW Washington 20024 6
SunTrust Bank 1369 Connecticut Avenue, NW Washington 20036 2
SunTrust Bank 3435 Connecticut Avenue, NW Washington 20008 3
SunTrust Bank 1100 G Street, NW Washington 20005 2
SunTrust Bank Two Massachusetts Avenue, NW Washington 20001 6
SunTrust Bank 3236 Wisconsin Avenue, NW Washington 20016 3
SunTrust Bank 1020 19th Street, NW Washington 20006 2
SunTrust Bank 6422 Georgia Avenue, NW Washington 20012 4
SunTrust Bank 410 Rhode Island Avenue, NE Washington 20002 5
SunTrust Bank 3301 New Mexico Avenue, NW Washington 20016 3
SunTrust Bank 2929 M Street, NW Washington 20007 3
SunTrust Bank 1445 New York Avenue, NW Washington 20005 2
TD Bank, National Association 1753 Connecticut Ave, NW Washington 20009 2
TD Bank, National Association 1275-A First Street, Ne Washington 20002 6
TD Bank, National Association 905 Rhode Island Avenue. Ne Washington 20018 5
TD Bank, National Association 801 17th Street Washington 20006 2
TD Bank, National Association 1200 New Hampshire Avenue, NW Washington 20036 2
TD Bank, National Association 1611 Wisconsin Avenue, NW Washington 20007 3
TD Bank, National Association 1030 15th Street, NW Washington 20005 2
TD Bank, National Association 1489 P Street, NW Washington 20036 2
TD Bank, National Association 4849 Wisconsin Avenue, NW Washington 20016 3
TD Bank, National Association 901 7th Street Washington 20001 2
TD Bank, National Association 605 14th St Washington 20005 2
The National Capital Bank of Washington 316 Pennsylvania Avenue, SE Washington 20003 6
The National Capital Bank of Washington 5228 44th Street, NW Washington 20015 4
The Northern Trust Company 800 Connecticut Avenue, NW, Suite 200 Washington 20006 2
United Bank 3050 Military Road, NW Washington 20015 4
United Bank 4900 Massachusetts Avenue, NW Washington 20016 3
United Bank 1667 K Street, NW Washington 20006 2
United Bank 1275 Pennsylvania Avenue, NW Washington 20004 2
United Bank 1875 Eye Street, NW Washington 20006 2
United Bank 1001 G Street, NW Washington 20001 2
WashingtonFirst Bank 1146 - 19th Street, NW Washington 20036 2
WashingtonFirst Bank 1025 Connecticut Avenue, NW, 1st Floor Washington 20036 2
WashingtonFirst Bank 1500 K Street, NW Washington 20006 2
Wells Fargo Bank, National Association 20 M Street, SE Washington 20003 6
Wells Fargo Bank, National Association 125 Michigan Avenue Washington 20017 5
Wells Fargo Bank, National Association 1200 First Street, NE Washington 20002 5
Wells Fargo Bank, National Association 1545 Alabama Avenue, SE Washington 20032 8
Wells Fargo Bank, National Association 1804 Adams Mills Road, NW Washington 20009 1
Wells Fargo Bank, National Association 1447 P Street, NW Washington 20005 2
Wells Fargo Bank, National Association 3325 14th Street, NW Washington 20010 1
Wells Fargo Bank, National Association 1300 I Street, NW Washington 20005 2
Wells Fargo Bank, National Association 444 North Capitol Street, NW Washington 20001 6
Wells Fargo Bank, National Association 5701 Connecticut Ave, NW Washington 20015 3
Wells Fargo Bank, National Association 2000 L Street, NW Washington 20036 2
Wells Fargo Bank, National Association 4841 Massachusetts Avenue, NW Washington 20016 3
Wells Fargo Bank, National Association 740 15th Street, NW Washington 20005 2
Wells Fargo Bank, National Association 4302 Connecticut Ave, NW Washington 20008 3
Wells Fargo Bank, National Association 1301 Pennsylvania Avenue, NW Washington 20004 2
Wells Fargo Bank, National Association 1100 Connecticut Avenue, NW Washington 20036 2
Wells Fargo Bank, National Association 1800 K Street, NW Washington 20006 2
Wells Fargo Bank, National Association 1300 Connecticut Avenue, NW Washington 20036 2
Wells Fargo Bank, National Association 1510 K Street, NW Washington 20005 2
Wells Fargo Bank, National Association 215 Pennsylvania Avenue, SE Washington 20003 6
Wells Fargo Bank, National Association 1850 M Street, NW Washington 20036 2
Wells Fargo Bank, National Association 801 Pennsylvania Avenue, NW Washington 20004 2
Wells Fargo Bank, National Association 5100 Wisconsin Avenue Washington 20015 3
Wells Fargo Bank, National Association 1310 G Street, NW Washington 20005 2
Wells Fargo Bank, National Association 1901 7th St, NW Washington 20001 1
Wells Fargo Bank, National Association 3200 Pennsylvania Avenue, SE Washington 20020 7
Wells Fargo Bank, National Association 5201 Macarthur Boulevard, NW Washington 20016 3
Wells Fargo Bank, National Association 3700 Calvert Street, NW Washington 20007 3
Wells Fargo Bank, National Association 1700 Pennsylvania Avenue, NW Washington 20006 2
Wells Fargo Bank, National Association 2901 M Street, NW Washington 20007 3
Wells Fargo Bank, National Association 2119 Bladensburg Road, NE Washington 20018 5
Wells Fargo Bank, National Association 600 Maryland Avenue, SW Washington 20024 6
Wilmington Trust, National Association 1350 I Street, NW Washington 20005 2