Statement from Commissioner Pieciak: DFR staff continue to work remotely and will do so until further notice. The department is still conducting business, however there may be some temporary delays in DFR services. 

DFR Regulations, Orders, Bulletins and Market Conduct Exams

Type Name Effective Datesort descending Title
Order Docket No. 18-50-S Fri, 11/30/2018 In Re: Hall Labs LLC
Order Docket No. 19-008-S Fri, 02/22/2019 In Re: FP Capitol, LLC
Order Docket No. 19-003-S Fri, 03/08/2019 In RE: Flipside Cryto, Active Eight LLC
Order Docket No. 19-004-S Thu, 03/14/2019 In RE: Flipside Cryto, Managed 9 LLC
Order Docket No. 19-012-S Tue, 04/02/2019 In Re: Future Income Payments, LLC; Scott Kohn
Order RESCINDED - Docket No. 16-019-S Thu, 04/04/2019 First Financial Equity Corporation Order and Consent (Rescinded)
Order Docket No. 18-020-S Fri, 05/03/2019 Harris, Weigand, and Global Mining Default Judgement and Order
Order Docket No. 19-012-S Fri, 05/31/2019 In Re: Future Income Payments Final Order to Cease and Desist
Order Docket No. 19-022-S Wed, 06/05/2019 Gallatin Capital LLC Stipulation and Consent Order
Order Docket No. 19-017-S Fri, 07/26/2019 Pantera Digital Asset Fund LP Stipulation and Consent Order
Order Docket No. 19-025-S Thu, 08/01/2019 375 North Avenue Stipulation and Consent Order (2)
Order Docket No. 19-026-S Thu, 08/01/2019 375 North Avenue Stipulation and Consent Order (3)
Order Docket No. 19-024-S Thu, 08/01/2019 375 North Avenue Stipulation and Consent Order
Regulation Reg. S-2016-01 (Revised) Mon, 08/12/2019 Vermont Securities Regulations
Order Docket No. 19-034-S Fri, 08/23/2019 IN RE: Escondido Village 388 DE Stipulation and Consent Order
Order Docket No. 19-021-S Thu, 08/29/2019 IBN Financial Services, Inc Stipulation And Consent Order
Order Docket No. 19-038-S Wed, 09/04/2019 Advanced Science Research Inc Stipulation and Consent Order
Order Docket No. 19-042-S Tue, 09/10/2019 Broad Street Capital Markets LLC - Ex Parte Order to Cease and Desist
Order Docket No. 19-035-S Mon, 09/16/2019 LiquidPiston, Inc. Stipulation and Consent Order
Order Docket No. 19-036-S Wed, 10/02/2019 TrustToken, Inc. Stipulation and Consent Order
Order Docket No. 19-045-S Wed, 10/09/2019 Clearwater Investment Trust Order, No Action
Order Docket No. 19-052-S Thu, 10/31/2019 Essex Securities LLC Stipulation and Consent Order
Order Docket No. 19-024-S Mon, 11/25/2019 Sally Jane Boyle Stipulation and Consent
Order Docket No. 19-029-I and 19-029-S Fri, 12/20/2019 Jack Trainham and Retirement And College Financial Services of Vermont Stipulation and Consent
Order Docket No. 19-055-S Fri, 12/20/2019 Maryland Cultivation and Processing Stipulation and Consent

Pages

Contact Information

Department of Financial Regulation
Consumer Services 
89 Main Street, Montpelier, VT 05620 - 3101

802-828-3301
833-DFR-HOTLINE (toll free)
833-337-4685 (toll free)

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For public records, media inquiries, and press releases visit our Public Information web page

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