DFR Issues Cease and Desist Order Against Individual Posing as Financial Professional
October 14, 2020
Contact: Stephanie Brackin, Information Management Officer, 802-828-4872, stephanie.brackin@vermont.gov
Securities
DFR Fines Financial Professionals for Conduct Involving Vulnerable Vermont Adult
March 10, 2020
Contact: Stephanie Brackin, Information Management Officer, 802-828-4872, stephanie.brackin@vermont.gov
DFR Fines Financial Professionals for Conduct Involving Vulnerable Vermont Adult
DFR Reminds Investors to Avoid Making Impulsive Decisions in a Volatile Financial Market
February 28, 2020
Contact: Stephanie Brackin, Information Management Officer, 802-828-4872, stephanie.brackin@vermont.gov
Post-Mastectomy Revision Denials
February 20, 2020
Contact: Stephanie Brackin, Information Management Officer, 802-828-4872, stephanie.brackin@vermont.gov
Avoiding Medicare Open Enrollment Scams
November 20, 2019
November 2019
Crowdfunding and Investors for Small Businesses
S-2016-01 Table of Contents
FINRA Investor Forum Flyer
Securities Fee Increases
July 17, 2019
Securities Fee Increases