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DFR Regulations, Orders, Bulletins and Market Conduct Exams

Regulation Bulletins
Type Name Effective Date Sort ascending Title
Order Docket No. 18-037-I Fri, 11/30/2018 Nikolaos Para Default Judgment and Order
Order Docket No. 18-049-S Tue, 11/27/2018 Stock Investment Management Inc.
Order Docket No. 18-032-S Tue, 11/20/2018 LPL Financial LLC
Order Docket No. 18-044-S Tue, 11/06/2018 In Re: Barker Partnership Fund
Order Docket No. 18-043-S Thu, 11/01/2018 In Re: Toro Jax Holdings, LLC
Order Docket No. 18-042-B Thu, 09/13/2018 Order Exempting Certain Loan Solicitation Companies From the Loan Solicitation Licensing Requirement Of 8 VSA Chapter 73
Order Docket No. 18-013-I Fri, 08/31/2018 Ex Parte Order for Summary Suspension Of Christopher Wocell’s Resident Producer and Surplus Lines Licenses
Order Docket No. 18-029-S Thu, 07/26/2018 In Re: DA Davidson
Order Docket No. 18-039-B Tue, 07/24/2018 FNC Insurance Agency, Inc.
Order Docket No. 18-014-I Tue, 07/10/2018 In Re: Saul D. Suster
Order Docket No. 18-027-B Wed, 06/13/2018 Internet Escrow Services, Inc.
Order Docket No. 18-015-S Thu, 06/07/2018 In Re: Jacinto “Spirit Wolf” Vega, Jr.
Order Docket No. 18-030-S Fri, 05/25/2018 Cease and Desist Levelnet Inc. and Paul Shkliaev
Order Docket No. 17-010-I Fri, 05/18/2018 USAA
Order Docket No. 18-004-I Mon, 04/02/2018 In Re: Mario A. Rodas
Order Docket No. 17-031-B Thu, 03/15/2018 In Re: Mercari, Inc
Order Docket No. 18-013-I Mon, 02/26/2018 Wocell Stipulation and Consent
Order Docket No. 18-012-I Fri, 02/23/2018 In Re: BlueCross BlueShield of Vermont
Order Docket No. 18-011-S Wed, 02/21/2018 In Re: Merrill Lynch
Order Docket No. 17-023-B Mon, 12/18/2017 In Re: Yapstone Holdings, Inc
Order Docket No. 17-030-S Wed, 11/08/2017 Bankers Life and Casualty
Order Docket No. 17-022-S Tue, 08/08/2017 In Re: People's Securities, Inc
Order Docket No. 17-016-I Tue, 08/01/2017 In Re: Liberty Mutual
Order Docket No. 17-014-B Mon, 07/03/2017 In Re: DOXO, Inc
Order Docket No. 17-018-S Sun, 07/02/2017 In Re: Rodney Winthrop Thompson