DFR Regulations, Orders, Bulletins and Market Conduct Exams

Type Name Effective Date Titlesort descending
Order Docket No. 19-024-S Thu, 08/01/2019 375 North Avenue 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. 19-038-S Wed, 09/04/2019 Advanced Science Research Inc Stipulation and Consent Order
Order Docket No. 16-020-S Thu, 09/01/2016 Aletheia Securities, Inc - Default Judgement and Order
Order Docket No. 06-043-S Fri, 07/07/2006 Applying Provisions of Certain Regulations, Bulletins, Policy Statements, and Orders to the Vermont Securities Act
Order Docket No. 17-030-S Wed, 11/08/2017 Bankers Life and Casualty
Order Docket No. 12-003-S Thu, 01/19/2012 Barry Cassese and KC Ward Financial
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. 10-052-S Wed, 06/09/2010 Buglisi and Rockwell Global Capital Consent Order
Order Docket No. 18-030-S Fri, 05/25/2018 Cease and Desist Levelnet Inc. and Paul Shkliaev
Order Docket No. 19-045-S Wed, 10/09/2019 Clearwater Investment Trust Order, No Action
Order Docket No. 16-022-S Tue, 09/06/2016 EKN Financial Services, Inc - Default Judgement and Order
Order Docket No. 10-080-S Thu, 09/23/2010 Electronic Notice Filing of Certain Federal Covered Securities with Vermont
Order Docket No. 17-008-S Tue, 04/04/2017 Fishkin and Crow Hill Capital
Order Docket No. 19-022-S Wed, 06/05/2019 Gallatin Capital LLC Stipulation and Consent Order
Order Docket No. 10-032-S Tue, 04/27/2010 Goldman Sachs Consent Order
Bulletin Securities Bulletin 15-01-S Mon, 07/20/2015 Guidance on Utilizing the Rule Providing for the Vermont Small Business Offerings
Order Docket No. 18-020-S Fri, 05/03/2019 Harris, Weigand, and Global Mining Default Judgement and Order
Order Docket No. 11-007-S Sun, 02/13/2011 Henry Corrao and EKN Financial Services
Order Docket No. 19-021-S Thu, 08/29/2019 IBN Financial Services, Inc Stipulation And Consent Order
Order Docket No. 16-011-S, 16-012-S Tue, 09/13/2016 In Re: Alan Dauphin - Stipulation and Consent
Order Docket No. 13-029-S Mon, 09/09/2013 In Re: Alicia Goodman Cease and Desist
Order Docket No. 18-044-S Tue, 11/06/2018 In Re: Barker Partnership Fund
Order Docket No. 18-029-S Thu, 07/26/2018 In Re: DA Davidson

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Contact Information

Department of Financial Regulation
Commissioner Michael Pieciak
89 Main Street, Montpelier, VT 05620 - 3101
802-828-3301

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

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