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

Typesort descending Name Effective Date Title
Order Docket No. 13-046-S Mon, 02/24/2014 In Re: George Jones Lincoln
Order Docket No. 19-035-S Mon, 09/16/2019 LiquidPiston, Inc. Stipulation and Consent Order
Order Docket No. 13-049-S Mon, 09/28/2015 In Re: Tucker Financial Services Stipulation and Consent Order
Order Docket No. 19-036-S Wed, 10/02/2019 TrustToken, Inc. Stipulation and Consent Order
Order Docket No. 13-047-S Fri, 11/15/2013 State Farm Mutual Funds - Electronic Filings
Order Docket No. 18-049-S Tue, 11/27/2018 Stock Investment Management Inc.
Order Docket No. 19-045-S Wed, 10/09/2019 Clearwater Investment Trust Order, No Action
Order Docket No. 19-012-S Fri, 05/31/2019 In Re: Future Income Payments Final Order to Cease and Desist
Order Docket No. 18-044-S Tue, 11/06/2018 In Re: Barker Partnership Fund
Order Docket No. 19-052-S Thu, 10/31/2019 Essex Securities 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. 18-043-S Thu, 11/01/2018 In Re: Toro Jax Holdings, LLC
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. 13-029-S Mon, 09/09/2013 In Re: Alicia Goodman Cease and Desist
Order Docket No. 18-032-S Tue, 11/20/2018 LPL Financial LLC
Order Docket No. 20-026-S (Amendment) Wed, 06/10/2020 Patrick Mazza Amendment to Ex Parte Order to Cease and Desist
Order Docket No. 17-018-S Mon, 01/06/2020 Winthrop Investment Management Order
Order Docket No. 13-025-S Fri, 09/13/2013 UBS Financial Services - Consent Order
Order Docket No. 18-030-S Fri, 05/25/2018 Cease and Desist Levelnet Inc. and Paul Shkliaev
Order Docket No. 20-026-S Mon, 06/08/2020 Patrick Mazza Ex Parte Order to Cease and Desist
Order RESCINDED - Docket No. 16-019-S Thu, 04/04/2019 First Financial Equity Corporation Order and Consent (Rescinded)
Order Docket No. 13-022-S Thu, 10/10/2013 In Re: Surety Services Stipulation and Consent Order
Order Docket No. 18-029-S Thu, 07/26/2018 In Re: DA Davidson
Order Docket No. 20-024-S Wed, 06/10/2020 Neurotherapeutics, Embera Stipulation and Consent
Order Docket No. 19-055-S Fri, 12/20/2019 Maryland Cultivation and Processing Stipulation and Consent

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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)

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

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