State of Vermont
DFR Regulations, Orders, Bulletins and Market Conduct Exams
| Type | Name | Effective Date |
Title |
|---|---|---|---|
| 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 |
| Order | Docket No. 19-034-S | Fri, 08/23/2019 | IN RE: Escondido Village 388 DE Stipulation and Consent Order |
| 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. 19-008-S | Fri, 02/22/2019 | In Re: FP Capitol, LLC |
| Order | Docket No. 19-012-S | Fri, 05/31/2019 | In Re: Future Income Payments Final Order to Cease and Desist |
| Order | Docket No. 19-012-S | Tue, 04/02/2019 | In Re: Future Income Payments, LLC; Scott Kohn |
| Order | Docket No. 13-046-S | Mon, 02/24/2014 | In Re: George Jones Lincoln |
| Order | Docket No. 18-50-S | Fri, 11/30/2018 | In Re: Hall Labs LLC |
| Order | Docket No. 18-015-S | Thu, 06/07/2018 | In Re: Jacinto “Spirit Wolf” Vega, Jr. |
| Order | Docket No. 18-011-S | Wed, 02/21/2018 | In Re: Merrill Lynch |
| Order | Docket No. 17-022-S | Tue, 08/08/2017 | In Re: People's Securities, Inc |
| Order | Docket No. 17-018-S | Sun, 07/02/2017 | In Re: Rodney Winthrop Thompson |
| Order | Docket No. 13-022-S | Thu, 10/10/2013 | In Re: Surety Services Stipulation and Consent Order |
| Order | Docket No. 18-043-S | Thu, 11/01/2018 | In Re: Toro Jax Holdings, LLC |
| Order | Docket No. 13-049-S | Mon, 09/28/2015 | In Re: Tucker Financial Services Stipulation and Consent Order |
| 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. 14-024-S | Tue, 05/27/2014 | Jason Oleet and Middlebury Securities, LLC - Order |
| Bulletin | Securities Bulletin S-2018-01 | Mon, 01/08/2018 | Joint Guidance on Providing Advice for Securities and Insurance Products |
| Order | Docket No. 16-023-S | Wed, 09/14/2016 | KBR Capital Markets - Default Judgement and Order |
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)
Public Information
For public records, media inquiries, and press releases visit our Public Information web page.
