State of Vermont
DFR Regulations, Orders, Bulletins and Market Conduct Exams
| Type | Name |
Effective Date |
Title |
|---|---|---|---|
| Order | Docket No. 19-021-S | Thu, 08/29/2019 | IBN Financial Services, Inc Stipulation And Consent Order |
| Order | Docket No. 19-034-S | Fri, 08/23/2019 | IN RE: Escondido Village 388 DE Stipulation and Consent Order |
| Regulation | Reg. S-2016-01 (Revised) | Mon, 08/12/2019 | Vermont Securities Regulations |
| 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. 19-017-S | Fri, 07/26/2019 | Pantera Digital Asset Fund LP Stipulation and Consent Order |
| Order | Docket No. 19-022-S | Wed, 06/05/2019 | Gallatin Capital LLC Stipulation and Consent Order |
| Order | Docket No. 19-012-S | Fri, 05/31/2019 | In Re: Future Income Payments Final Order to Cease and Desist |
| Order | Docket No. 18-020-S | Fri, 05/03/2019 | Harris, Weigand, and Global Mining Default Judgement and Order |
| Order | RESCINDED - Docket No. 16-019-S | Thu, 04/04/2019 | First Financial Equity Corporation Order and Consent (Rescinded) |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 |
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.
