State of Vermont
Statement from Commissioner Michael Pieciak
Statement from Commissioner Pieciak: DFR staff have been directed to work remotely from home, and will continue to do so until further notice. The department is still conducting business, however the remote nature of our work may cause some temporary disruptions or delays in DFR services. Read the full letter for more information about contacting DFR.
DFR Regulations, Orders, Bulletins and Market Conduct Exams
| Type | Name |
Effective Date |
Title |
|---|---|---|---|
| Order | RESCINDED - Docket No. 16-019-S | Thu, 04/04/2019 | First Financial Equity Corporation Order and Consent (Rescinded) |
| Order | Docket No. 19-012-S | Tue, 04/02/2019 | In Re: Future Income Payments, LLC; Scott Kohn |
| Order | Docket No. 19-004-S | Thu, 03/14/2019 | In RE: Flipside Cryto, Managed 9 LLC |
| Order | Docket No. 19-003-S | Fri, 03/08/2019 | In RE: Flipside Cryto, Active Eight LLC |
| Order | Docket No. 19-008-S | Fri, 02/22/2019 | In Re: FP Capitol, LLC |
| Order | Docket No. 18-50-S | Fri, 11/30/2018 | In Re: Hall Labs LLC |
| Order | Docket No. 18-049-S | Tue, 11/27/2018 | Stock Investment Management Inc. |
| Order | Docket No. 18-032-S | Tue, 11/20/2018 | LPL Financial LLC |
| Order | Docket No. 18-044-S | Tue, 11/06/2018 | In Re: Barker Partnership Fund |
| Order | Docket No. 18-043-S | Thu, 11/01/2018 | In Re: Toro Jax Holdings, LLC |
| Order | Docket No. 18-029-S | Thu, 07/26/2018 | In Re: DA Davidson |
| Order | Docket No. 18-015-S | Thu, 06/07/2018 | In Re: Jacinto “Spirit Wolf” Vega, Jr. |
| Order | Docket No. 18-030-S | Fri, 05/25/2018 | Cease and Desist Levelnet Inc. and Paul Shkliaev |
| Order | Docket No. 18-011-S | Wed, 02/21/2018 | In Re: Merrill Lynch |
| Bulletin | Securities Bulletin S-2018-01 | Mon, 01/08/2018 | Joint Guidance on Providing Advice for Securities and Insurance Products |
| Order | Docket No. 17-030-S | Wed, 11/08/2017 | Bankers Life and Casualty |
| 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. 17-008-S | Tue, 04/04/2017 | Fishkin and Crow Hill Capital |
| Order | Docket No. 16-023-S | Wed, 09/14/2016 | KBR Capital Markets - Default Judgement and Order |
| Order | Docket No. 16-011-S, 16-012-S | Tue, 09/13/2016 | In Re: Alan Dauphin - Stipulation and Consent |
| Order | Docket No. 16-022-S | Tue, 09/06/2016 | EKN Financial Services, Inc - Default Judgement and Order |
| Order | Docket No. 16-021-S | Thu, 09/01/2016 | Obsidian Financial Group, LLC - Default Judgement and Order |
| Order | Docket No. 16-020-S | Thu, 09/01/2016 | Aletheia Securities, Inc - Default Judgement and Order |
| Order | Docket No. 16-025-S | Thu, 06/09/2016 | Wells Fargo Advisors LLC |
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.
