DFR Regulations, Orders, Bulletins and Market Conduct Exams

Type Name Effective Date Titlesort ascending
Order Docket No. 17-018-S Sun, 07/02/2017 In Re: Rodney Winthrop Thompson
Order Docket No. 17-022-S Tue, 08/08/2017 In Re: People's Securities, Inc
Order Docket No. 18-011-S Wed, 02/21/2018 In Re: Merrill Lynch
Order Docket No. 18-015-S Thu, 06/07/2018 In Re: Jacinto “Spirit Wolf” Vega, Jr.
Order Docket No. 18-50-S Fri, 11/30/2018 In Re: Hall Labs LLC
Order Docket No. 13-046-S Mon, 02/24/2014 In Re: George Jones Lincoln
Order Docket No. 19-012-S Tue, 04/02/2019 In Re: Future Income Payments, LLC; Scott Kohn
Order Docket No. 19-012-S Fri, 05/31/2019 In Re: Future Income Payments Final Order to Cease and Desist
Order Docket No. 19-008-S Fri, 02/22/2019 In Re: FP Capitol, LLC
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. 19-034-S Fri, 08/23/2019 IN RE: Escondido Village 388 DE Stipulation and Consent Order
Order Docket No. 18-029-S Thu, 07/26/2018 In Re: DA Davidson
Order Docket No. 18-044-S Tue, 11/06/2018 In Re: Barker Partnership Fund
Order Docket No. 13-029-S Mon, 09/09/2013 In Re: Alicia Goodman Cease and Desist
Order Docket No. 16-011-S, 16-012-S Tue, 09/13/2016 In Re: Alan Dauphin - Stipulation and Consent
Order Docket No. 19-021-S Thu, 08/29/2019 IBN Financial Services, Inc Stipulation And Consent Order
Order Docket No. 11-007-S Sun, 02/13/2011 Henry Corrao and EKN Financial Services
Order Docket No. 18-020-S Fri, 05/03/2019 Harris, Weigand, and Global Mining Default Judgement and 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. 10-032-S Tue, 04/27/2010 Goldman Sachs Consent Order
Order Docket No. 19-022-S Wed, 06/05/2019 Gallatin Capital LLC Stipulation and Consent Order
Order Docket No. 17-008-S Tue, 04/04/2017 Fishkin and Crow Hill Capital
Order RESCINDED - Docket No. 16-019-S Thu, 04/04/2019 First Financial Equity Corporation Order and Consent (Rescinded)
Order Docket No. 20-016-S Wed, 03/18/2020 Fairholme Stipulation and Consent Order

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