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DFR Regulations, Orders, Bulletins and Market Conduct Exams

Regulation Bulletins
Type Sort descending Name Effective Date Title
Order Docket No 23-001-S Tue, 03/14/2023 Educator of Truth, et al., dba Educational Empowerment Corp. and Mark Laurence Donald Emerson | Ex Parte Order to Cease and Desist
Order Docket No. 22-028-I Tue, 11/15/2022 Sivels Default Judgment and Order
Order Docket No. 22-027-I Tue, 11/15/2022 Pancorbo Default Judgment and Order
Order Docket No. 22-026-I Tue, 11/15/2022 Lewandowski Default Judgment and Order
Order Docket No. 22-025-I Tue, 11/15/2022 Sherman Default Judgment and Order
Order Docket No. 22-024-I Tue, 11/15/2022 Petroccia Default Judgment and Order
Order Docket No. 22-023-I Tue, 11/15/2022 Jones Default Judgment and Order
Order Docket No. 22-029-I Tue, 11/15/2022 Gagnard Default Judgment and Order
Order Docket No. 22-034-B Tue, 11/08/2022 Acceleron Corp. | Amended and Restated Order Granting Permission to Organize as an Investor-Owned Uninsured Bank
Order Docket No. 22-022-S Mon, 09/26/2022 Nexo Inc. Ex Parte Order to Cease and Desist
Order Docket No. 21-049-S Tue, 09/13/2022 Avantax Stipulation and Consent Order
Order Docket No. 21-048-S Wed, 09/14/2022 Polak Stipulation and Consent Order
Order Docket No. 22-004-S Fri, 01/13/2023 (FINAL ORDER) Voyager Ex Parte Order to Cease and Desist
Order Docket No. 22-016-I Wed, 08/17/2022 McCoy Default Judgment and Order
Order Docket No. 22-015-I Wed, 08/17/2022 Riley Default Judgment and Order
Order Docket No. 23-017-S Fri, 11/03/2023 Raymond James & Associates, Inc. Consent Order
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. 23-024-I Wed, 03/13/2024 Default Judgment and Order in Re Gina Morrow
Order Docket No. 23-023-I Wed, 03/13/2024 Default Judgment and Order in Re Ryan Garry
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. 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