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DFR Regulations, Orders, Bulletins and Market Conduct Exams

Regulation Bulletins
Type Name Effective Date Title
Order Docket No. 24-007-I Wed, 09/25/2024 Approval Order - Affiliation of Union Mutual Fire Insurance Company
Order Docket No. 24-016-S Tue, 09/17/2024 Stipulation and Consent Order NVIP LLC dba Nomadic Value Partners (CRD# 322633)
Order Docket No. 24-006-C Tue, 09/17/2024 Default Judgment Fleet General Insurance Group Inc.
Order Docket No. 24-014-S Wed, 08/14/2024 Order Authorizing Dual Registration Under the Vermont Uniform Securities Act In Re Dominik M. Tortes and Dalmore Group LLC, and Nortlov
Order Docket No. 24-008-I Mon, 08/05/2024 Default Judgment and Order in Re Shari Miller
Order Docket No. 24-010-I Mon, 08/05/2024 Default Judgment and Order Hermelinda Gomez
Order Docket No. 24-012-I Mon, 08/05/2024 VALIC NAIC #70238 Stipulation and Consent Order
Order Docket No. 23-003-S Thu, 06/27/2024 Coinbase Standstill and Tolling Agreement
Order Docket No. 24-004-I Tue, 04/30/2024 Default Judgment and Order in re: Jeffrey Thompson NPN #19031883
Order Docket No. 24-003-I Wed, 04/10/2024 Default Judgment and Order in re: ClaimChoice Administrators, LLC
Order Docket No. 24-005-B Fri, 03/22/2024 Sigue Corp. Interim Consent Order
Order Docket No. 23-023-I Wed, 03/13/2024 Default Judgment and Order in Re Ryan Garry
Order Docket No. 23-024-I Wed, 03/13/2024 Default Judgment and Order in Re Gina Morrow
Order Docket No. 24-001-S Mon, 01/22/2024 Consent Order in Re TradeStation Crypto, Inc.
Order Docket No. 24-002-S Mon, 01/22/2024 Order Authorizing Dual Registration Under the Vermont Uniform Securities Act Darraugh Valli, Agent (CRD # 2191309) and Cambridge Investment Research, Inc., Broker (CRD# 39543) et al
Order Docket No. 23-011-I Mon, 01/01/2024 Coding and Reimbursement for Audio-Only Telephone Services
Order Docket No. 21-050-S Thu, 12/14/2023 Judgment and Order in Re Colomont, Inc. and Christopher Santee
Order Docket No. 23-21-I Tue, 12/12/2023 Order Approving Conversion of Granite Mutual Insurance Co to a Stock Insurance Co
Order Docket No. 22-011-S Mon, 12/11/2023 Stipulation and Consent Order in Re Thomas M. Chadwick, Chadwick & D'Amato
Order Docket No. 23-22-S Fri, 12/08/2023 Order Authorizing Multiple Registration Under VT Uniform Securities Act Thomas Meringolo, Agent (CRD# 4192542)
Order Docket No. 23-019-S Tue, 11/28/2023 Exeter Capital Companies, LLC Stipulation and Consent Order
Order Docket No. 23-CV-04806 Thu, 11/16/2023 Assurance of Voluntary Compliance Morgan Stanley Smith Barney LLC
Order Docket No. 23-017-S Fri, 11/03/2023 Raymond James & Associates, Inc. Consent Order
Order Docket No. 23-013-S Tue, 10/24/2023 Safeguard Metals LLC | Jeffrey Ikahn FKA Jeffrey Santulan
Order Docket No. 23-020-B Tue, 10/17/2023 ACI Payments, Inc.; ACI Worldwide Corp.