DFR Regulations, Orders, Bulletins and Market Conduct Exams

Type	Name	Effective Date	Title
Order	Docket No. 13-022-S	Thu, 10/10/2013	In Re: Surety Services Stipulation and Consent Order
Order	Docket No. 20-029-S	Wed, 10/14/2020	William J. Therieau Cease and Desist
Order	Docket No. 18-030-S	Fri, 05/25/2018	Cease and Desist Levelnet Inc. and Paul Shkliaev
Order	Docket No. 19-055-S	Fri, 12/20/2019	Maryland Cultivation and Processing Stipulation and Consent
Order	Docket No. 13-001-S	Fri, 02/08/2013	UVEST Financial Services Group Consent Order
Order	Docket No. 20-034-S	Fri, 11/20/2020	Krista Scruggs and Zafa Wines Ex Parte Cease and Desist
Order	Docket No. 18-029-S	Thu, 07/26/2018	In Re: DA Davidson
Order	Docket No. 19-019-S	Wed, 01/08/2020	Liberty Partners Financial Services Stipulation and Consent
Order	Docket No. 13-001-S	Fri, 03/08/2013	ProEquities Consent Order
Order	Docket No. 20-029-S (Amendment)	Fri, 12/11/2020	Therieau Amendment to Ex Parte Order to Cease and Desist
Order	Docket No. 18-015-S	Thu, 06/07/2018	In Re: Jacinto “Spirit Wolf” Vega, Jr.
Order	Docket No. 19-024-S	Mon, 11/25/2019	Sally Jane Boyle Stipulation and Consent
Order	Docket No. 12-022-S	Mon, 02/13/2012	Ronald Berman and Axiom Capital Management Order Removing Conditions
Order	Docket No. 20-029-S	Tue, 03/16/2021	Therieau Financial Services Final Order
Order	Docket No. 18-011-S	Wed, 02/21/2018	In Re: Merrill Lynch
Order	Docket No. 20-008-S	Tue, 02/25/2020	Thornton Investment Management Stipulation and Consent
Order	Docket No. 12-003-S	Thu, 01/19/2012	Barry Cassese and KC Ward Financial
Order	Docket No. 21-007-S	Fri, 04/30/2021	Louis Olave Stipulation and Consent Order
Order	Docket No. 17-030-S	Wed, 11/08/2017	Bankers Life and Casualty
Regulation	Reg. S-2016-01 (Revised)	Mon, 08/12/2019	Vermont Securities Regulations

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Bulletins, Orders, and Regulations

DFR Regulations, Orders, Bulletins and Market Conduct Exams

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