State of Vermont
DFR Regulations, Orders, Bulletins and Market Conduct Exams
| Type | Name |
Effective Date |
Title |
|---|---|---|---|
| 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 |
| Order | Docket No. 16-026-S | Sun, 06/05/2016 | Raymond James and Associates - Consent Order |
| Order | Docket No. 16-001-S | Wed, 06/01/2016 | Repealing In Part Order 06-023-S |
| Order | Docket No. 13-049-S | Mon, 09/28/2015 | In Re: Tucker Financial Services Stipulation and Consent Order |
| Bulletin | Securities Bulletin 15-01-S | Mon, 07/20/2015 | Guidance on Utilizing the Rule Providing for the Vermont Small Business Offerings |
| Order | Docket No. 14-089-S | Mon, 12/01/2014 | UBS Financial Services - Consent Order |
Pages
Contact Information
Department of Financial Regulation
Commissioner Michael Pieciak
89 Main Street, Montpelier, VT 05620 - 3101
802-828-3301
833-DFR-HOTLINE
Public Information
For public records, media inquiries, and press releases visit our Public Information web page.
