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DFR Regulations, Orders, Bulletins and Market Conduct Exams

Type Name Effective Date Title
Order Docket No. 22-022-S Mon, 09/26/2022 Nexo Inc. 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. 22-004-S Tue, 09/13/2022 Voyager Ex Parte Order to Cease and Desist
Order Docket No. 21-049-S Tue, 09/13/2022 Avantax Stipulation and Consent Order
Order Docket No.22-021-S Fri, 08/12/2022 Celsius Order For Ex Parte Cease and Desist
Order Docket No. 22-011-S Fri, 06/17/2022 Chadwick Stipulation and Interim Consent Order
Order Docket No. 21-053-S (Withdrawal) Thu, 05/19/2022 Withdrawal of Ex Parte Order to Cease and Desist
Order Docket No. 22-011-S Tue, 05/03/2022 Chadwick Ex Parte Order to Cease and Desist
Order Docket No. 22-004-S Tue, 03/29/2022 Voyager Digital Show Cause Order
Order Docket No. 21-051-S Wed, 03/16/2022 Robinhood Financial Stipulation and Consent Order
Order Docket No. 21-025-S Mon, 02/14/2022 BlockFi Consent Order
Order Docket No. 21-053-S (Withdrawn) Fri, 01/07/2022 WITHDRAWN - Carinthia Ex Parte Order to Cease and Desist
Order Docket No. 21-050-S Wed, 12/22/2021 In Re: Colomont, Inc. and Christopher Santee Show Cause Order
Regulation Reg. S-2016-01 (Revised) Thu, 12/16/2021 Vermont Securities Regulations
Order Docket No. 19-045-S Sat, 10/09/2021 Clearwater Investment Trust Amendment Order
Order Docket No. 21-025-S Mon, 07/26/2021 BlockFI Show Cause Order
Order Docket No. 21-007-S Fri, 04/30/2021 Louis Olave Stipulation and Consent Order
Order Docket No. 20-029-S Tue, 03/16/2021 Therieau Financial Services Final Order
Order Docket No. 20-029-S (Amendment) Fri, 12/11/2020 Therieau Amendment to Ex Parte Order to Cease and Desist
Order Docket No. 20-034-S Fri, 11/20/2020 Krista Scruggs and Zafa Wines Ex Parte Cease and Desist
Order Docket No. 20-029-S Wed, 10/14/2020 William J. Therieau Cease and Desist
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. 20-024-S Wed, 06/10/2020 Neurotherapeutics, Embera Stipulation and Consent
Order Docket No. 20-026-S (Amendment) Wed, 06/10/2020 Patrick Mazza Amendment to Ex Parte Order to Cease and Desist