State of Vermont
DFR Regulations, Orders, Bulletins and Market Conduct Exams
| Type |
Name |
Effective Date | Title |
|---|---|---|---|
| Order | Docket No. 18-011-S | Wed, 02/21/2018 | In Re: Merrill Lynch |
| 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 | Mon, 01/06/2020 | Winthrop Investment Management Order |
| 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. 16-026-S | Sun, 06/05/2016 | Raymond James and Associates - Consent Order |
| Order | Docket No. 16-025-S | Thu, 06/09/2016 | Wells Fargo Advisors LLC |
| Order | Docket No. 16-023-S | Wed, 09/14/2016 | KBR Capital Markets - Default Judgement and Order |
| 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. 16-011-S, 16-012-S | Tue, 09/13/2016 | In Re: Alan Dauphin - Stipulation and Consent |
| Order | Docket No. 16-001-S | Wed, 06/01/2016 | Repealing In Part Order 06-023-S |
| 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. 14-002-S | Mon, 01/06/2014 | Thomas Donnelly and Quasar Distributors, LLC |
| Order | Docket No. 14-001-S | Fri, 01/17/2014 | Robert Jamo and Quasar Distributors, LLC |
| Order | Docket No. 13-049-S | Mon, 09/28/2015 | In Re: Tucker Financial Services Stipulation and Consent Order |
| Order | Docket No. 13-047-S | Fri, 11/15/2013 | State Farm Mutual Funds - Electronic Filings |
| Order | Docket No. 13-046-S | Mon, 02/24/2014 | In Re: George Jones Lincoln |
| Order | Docket No. 13-029-S | Mon, 09/09/2013 | In Re: Alicia Goodman Cease and Desist |
| Order | Docket No. 13-025-S | Fri, 09/13/2013 | UBS Financial Services - Consent Order |
| Order | Docket No. 13-022-S | Thu, 10/10/2013 | In Re: Surety Services Stipulation and 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.
