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DFR Regulations, Orders, Bulletins and Market Conduct Exams

Regulation Bulletins
Type Name Effective Date Title
Order Docket No. 20-004-I Tue, 01/14/2020 Union Mutual Fire Insurance Company Stipulation and Consent
Order Docket No. 19-070-B Tue, 01/21/2020 Uphold HQ Stipulation and Consent
Order Docket No. 18-55-B Thu, 12/27/2018 Upstart Network, Inc.
Order Toler-22-010-I Tue, 07/12/2022 Uriah Toler Default Judgment and Order
Order Docket No. 17-010-I Fri, 05/18/2018 USAA
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
Order Docket No. 12-041-I Wed, 05/22/2013 Vermont Health Co-op Licensing Decision and Order
Order Docket No. 14-023-S Mon, 07/21/2014 Vermont Solar / Utility No-Action "SUN" Exemption
Order Docket No. 22-004-S Tue, 03/29/2022 Voyager Digital Show Cause Order
Order Docket No. 12-020-B and 12-021-B Fri, 10/05/2012 VSECU Settlement Agreement
Order Docket No. 20-038-B Sat, 02/27/2021 Wave Financial Stipulation and Consent
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. 21-043-I Tue, 01/11/2022 William Armstrong Default Judgment and Order
Order Docket No. 21-030-I Fri, 11/05/2021 William Gillus Default Judgment and 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
Order Docket No. 21-053-S (Withdrawal) Thu, 05/19/2022 Withdrawal of Ex Parte Order to Cease and Desist
Order Docket No. 21-053-S (Withdrawn) Fri, 01/07/2022 WITHDRAWN - Carinthia Ex Parte Order to Cease and Desist
Order Docket No. 18-013-I Mon, 02/26/2018 Wocell Stipulation and Consent
Order Docket No. 20-041-I Thu, 03/18/2021 Wurtz Stipulation and Consent Order
Order Docket No. 17-001-I Thu, 02/09/2017 YourPeople, Inc
Order Docket No. 13-018-B Mon, 09/16/2013 Zachary Tierney - Order
Order Docket No. 20-014-I Tue, 04/28/2020 Zahirah Laila Martinez Default Judgment and Order