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DFR Regulations, Orders, Bulletins and Market Conduct Exams

Regulation Bulletins
Type Name Effective Date Title Sort descending
Order Docket No. 20-005-S Thu, 04/30/2020 Merrill Lynch Stipulation and Consent
Order Docket No. 15-006-S Tue, 07/07/2015 Michael Bombardier Stipulation and Consent
Order Docket No. 11-026-S Tue, 05/31/2011 Michael Williams Stipulation and Consent Order
Order Docket No. 20-024-S Wed, 06/10/2020 Neurotherapeutics, Embera Stipulation and Consent
Order Docket No. 22-022-S Mon, 09/26/2022 Nexo Inc. Ex Parte Order to Cease and Desist
Order Docket No. 22-022-S Thu, 01/26/2023 Nexo Inc., Nexo Capital, Inc. and Nexo Financial, LLC Stipulation and Consent Order
Order Docket No. 16-021-S Thu, 09/01/2016 Obsidian Financial Group, LLC - Default Judgment and Order
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. 23-22-S Fri, 12/08/2023 Order Authorizing Multiple Registration Under VT Uniform Securities Act Thomas Meringolo, Agent (CRD# 4192542)
Order Docket No. 20-027-S Fri, 07/10/2020 Order Removing Conditions from in the Matter of John A. Bodnar And International Assets Advisory, LLC International Assets Investment Management, LLC Docket No. 17-011-S, April 28, 2017
Order Docket No. 20-023-S Tue, 06/16/2020 Overland Storage Stipulation and Consent
Order Docket No. 19-017-S Fri, 07/26/2019 Pantera Digital Asset Fund LP Stipulation and Consent Order
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. 20-026-S Mon, 06/08/2020 Patrick Mazza Ex Parte Order to Cease and Desist
Order Docket No. 21-048-S Wed, 09/14/2022 Polak Stipulation and Consent Order
Order Docket No. 13-001-S Fri, 03/08/2013 ProEquities Consent Order
Order Docket No. 21-056-S Wed, 01/05/2022 Ray Trombley Associates LLC Stipulation and Consent Order
Order Docket No. 23-017-S Fri, 11/03/2023 Raymond James & Associates, Inc. Consent Order
Order Docket No. 16-026-S Sun, 06/05/2016 Raymond James and Associates - Consent Order
Order Docket No. 14-022-S Mon, 04/07/2014 Registration Exemption for SolarCommunities, Inc - Order
Order Docket No. 16-001-S Wed, 06/01/2016 Repealing In Part Order 06-023-S
Order Docket No. 11-008-S Fri, 03/04/2011 Robert Cully and Winslow, Evans & Crocker
Order Docket No. 14-001-S Fri, 01/17/2014 Robert Jamo and Quasar Distributors, LLC
Order Docket No. 21-051-S Wed, 03/16/2022 Robinhood Financial Stipulation and Consent Order
Order Docket No. 12-022-S Mon, 02/13/2012 Ronald Berman and Axiom Capital Management Order Removing Conditions