DFR Regulations, Orders, Bulletins and Market Conduct Exams

Type Name Effective Date Titlesort descending
Order Docket No. 19-024-S Mon, 11/25/2019 Sally Jane Boyle Stipulation and Consent
Order Docket No. 20-009-S Fri, 03/06/2020 Solium Financial Services LLC Stipulation and Consent
Order Docket No. 13-047-S Fri, 11/15/2013 State Farm Mutual Funds - Electronic Filings
Order Docket No. 10-031-S Mon, 04/05/2010 Stifel, Nicolaus and Co Consent Order
Order Docket No. 18-049-S Tue, 11/27/2018 Stock Investment Management Inc.
Order Docket No. 20-029-S (Amendment) Fri, 12/11/2020 Therieau Amendment to Ex Parte Order to Cease and Desist
Order Docket No. 20-029-S Tue, 03/16/2021 Therieau Financial Services Final Order
Order Docket No. 14-002-S Mon, 01/06/2014 Thomas Donnelly and Quasar Distributors, LLC
Order Docket No. 20-008-S Tue, 02/25/2020 Thornton Investment Management Stipulation and Consent
Order Docket No. 19-036-S Wed, 10/02/2019 TrustToken, Inc. Stipulation and Consent Order
Order Docket No. 14-089-S Mon, 12/01/2014 UBS Financial Services - Consent Order
Order Docket No. 13-025-S Fri, 09/13/2013 UBS Financial Services - Consent Order
Order Docket No. 10-029-S Mon, 04/19/2010 UBS Securities Consent Order
Order Docket No. 13-001-S Fri, 02/08/2013 UVEST Financial Services Group Consent Order
Order Docket No. 10-038-S Wed, 05/05/2010 Van Hamm and Meyers Associates Consent Order
Regulation Reg. S-2016-01 (Revised) Mon, 08/12/2019 Vermont Securities Regulations
Order Docket No. 16-025-S Thu, 06/09/2016 Wells Fargo Advisors LLC
Order Docket No. 10-030-S Wed, 04/28/2010 Wells Fargo Investments Consent Order
Order Docket No. 20-029-S Wed, 10/14/2020 William J. Therieau Cease and Desist
Order Docket No. 17-018-S Mon, 01/06/2020 Winthrop Investment Management Order

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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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