DFR Regulations, Orders, Bulletins and Market Conduct Exams

Type Name Effective Datesort ascending Title
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
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

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