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 Datesort ascending Title
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
Order Docket No. 14-024-S Tue, 05/27/2014 Jason Oleet and Middlebury Securities, LLC - Order
Order Docket No. 14-022-S Mon, 04/07/2014 Registration Exemption for SolarCommunities, Inc - Order
Order Docket No. 13-046-S Mon, 02/24/2014 In Re: George Jones Lincoln
Order Docket No. 14-001-S Fri, 01/17/2014 Robert Jamo and Quasar Distributors, LLC
Order Docket No. 14-002-S Mon, 01/06/2014 Thomas Donnelly and Quasar Distributors, LLC
Order Docket No. 13-047-S Fri, 11/15/2013 State Farm Mutual Funds - Electronic Filings
Order Docket No. 13-022-S Thu, 10/10/2013 In Re: Surety Services Stipulation and Consent Order
Order Docket No. 13-025-S Fri, 09/13/2013 UBS Financial Services - Consent Order
Order Docket No. 13-029-S Mon, 09/09/2013 In Re: Alicia Goodman Cease and Desist
Order Docket No. 13-001-S Fri, 03/08/2013 ProEquities Consent Order
Order Docket No. 13-001-S Fri, 02/08/2013 UVEST Financial Services Group Consent Order
Order Docket No. 12-022-S Mon, 02/13/2012 Ronald Berman and Axiom Capital Management Order Removing Conditions
Order Docket No. 12-003-S Thu, 01/19/2012 Barry Cassese and KC Ward Financial
Order Docket No. 11-026-S Tue, 05/31/2011 Michael Williams Stipulation and Consent Order
Order Docket No. 11-008-S Fri, 03/04/2011 Robert Cully and Winslow, Evans & Crocker
Order Docket No. 11-007-S Sun, 02/13/2011 Henry Corrao and EKN Financial Services
Order Docket No. 10-080-S Thu, 09/23/2010 Electronic Notice Filing of Certain Federal Covered Securities with Vermont
Order Docket No. 10-052-S Wed, 06/09/2010 Buglisi and Rockwell Global Capital Consent Order
Order Docket No. 10-038-S Wed, 05/05/2010 Van Hamm and Meyers Associates Consent Order
Order Docket No. 10-030-S Wed, 04/28/2010 Wells Fargo Investments Consent Order

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

Twitter icon
Facebook icon
LinkedIn icon

 

 

 

 

Employee Information