State of Vermont
DFR Regulations, Orders, Bulletins and Market Conduct Exams
Type |
Name | Effective Date | Title |
|---|---|---|---|
| Order | Docket No. 20-034-S | Fri, 11/20/2020 | Krista Scruggs and Zafa Wines Ex Parte Cease and Desist |
| Order | Docket No. 13-001-S | Fri, 02/08/2013 | UVEST Financial Services Group Consent Order |
| Order | Docket No. 18-015-S | Thu, 06/07/2018 | In Re: Jacinto “Spirit Wolf” Vega, Jr. |
| Order | Docket No. 19-019-S | Wed, 01/08/2020 | Liberty Partners Financial Services Stipulation and Consent |
| Order | Docket No. 20-029-S (Amendment) | Fri, 12/11/2020 | Therieau Amendment to Ex Parte Order to Cease and Desist |
| Order | Docket No. 13-001-S | Fri, 03/08/2013 | ProEquities Consent Order |
| Order | Docket No. 18-011-S | Wed, 02/21/2018 | In Re: Merrill Lynch |
| Order | Docket No. 19-024-S | Mon, 11/25/2019 | Sally Jane Boyle Stipulation and Consent |
| Order | Docket No. 20-029-S | Tue, 03/16/2021 | Therieau Financial Services Final Order |
| Order | Docket No. 12-022-S | Mon, 02/13/2012 | Ronald Berman and Axiom Capital Management Order Removing Conditions |
| Order | Docket No. 17-030-S | Wed, 11/08/2017 | Bankers Life and Casualty |
| Order | Docket No. 20-008-S | Tue, 02/25/2020 | Thornton Investment Management Stipulation and Consent |
| Order | Docket No. 21-007-S | Fri, 04/30/2021 | Louis Olave Stipulation and Consent Order |
| Order | Docket No. 12-003-S | Thu, 01/19/2012 | Barry Cassese and KC Ward Financial |
| Order | Docket No. 17-022-S | Tue, 08/08/2017 | In Re: People's Securities, Inc |
| Order | Docket No. 20-009-S | Fri, 03/06/2020 | Solium Financial Services LLC Stipulation and Consent |
| Order | Docket No. 21-025-S | Mon, 07/26/2021 | BlockFI Show Cause Order |
| Order | Docket No. 11-026-S | Tue, 05/31/2011 | Michael Williams Stipulation and Consent Order |
| Order | Docket No. 17-018-S | Sun, 07/02/2017 | In Re: Rodney Winthrop Thompson |
| Order | Docket No. 19-069-S | Fri, 03/06/2020 | Account Management, DeRoetth Stipulation and Consent |
| Order | Docket No. 19-045-S | Sat, 10/09/2021 | Clearwater Investment Trust Amendment Order |
| Order | Docket No. 11-008-S | Fri, 03/04/2011 | Robert Cully and Winslow, Evans & Crocker |
| Order | Docket No. 17-008-S | Tue, 04/04/2017 | Fishkin and Crow Hill Capital |
| Order | Docket No. 20-017-S | Wed, 03/18/2020 | Benchmark Company Stipulation and Consent |
| Order | Docket No. 21-050-S | Wed, 12/22/2021 | In Re: Colomont, Inc. and Christopher Santee Show Cause 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)
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