State of Vermont
Statement from Commissioner Pieciak: DFR staff continue to work remotely and will do so until further notice. The department is still conducting business, however there may be some temporary delays in DFR services.
DFR Regulations, Orders, Bulletins and Market Conduct Exams
| Type | Name |
Effective Date |
Title |
|---|---|---|---|
| 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| Order | RESCINDED - Docket No. 16-019-S | Thu, 04/04/2019 | First Financial Equity Corporation Order and Consent (Rescinded) |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 |
| 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 |
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.
