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DFR Regulations, Orders, Bulletins and Market Conduct Exams

Regulation Bulletins
Type Name Effective Date Title Sort ascending
Order Docket No. 20-032-I Wed, 02/24/2021 Order for Revocation of License - Rasnake
Order Docket No. 20-031-I Wed, 02/24/2021 Order for Revocation of License - Jones
Order Docket No. 20-035-I Wed, 02/24/2021 Order for Revocation of License - GCIB
Order Docket No. 18-042-B Thu, 09/13/2018 Order Exempting Certain Loan Solicitation Companies From the Loan Solicitation Licensing Requirement Of 8 VSA Chapter 73
Order Docket No. 23-22-S Fri, 12/08/2023 Order Authorizing Multiple Registration Under VT Uniform Securities Act Thomas Meringolo, Agent (CRD# 4192542)
Order Docket No. 24-002-S Mon, 01/22/2024 Order Authorizing Dual Registration Under the Vermont Uniform Securities Act Darraugh Valli, Agent (CRD # 2191309) and Cambridge Investment Research, Inc., Broker (CRD# 39543) et al
Order Docket No. 23-21-I Tue, 12/12/2023 Order Approving Conversion of Granite Mutual Insurance Co to a Stock Insurance Co
Order Docket No. 22-020-B Fri, 02/10/2023 Olympic Financial Group Inc Stipulation and Consent Order
Order Docket No. 22-036-I Mon, 03/06/2023 Olmstead Default Judgment and Order
Order Docket No. 15-033-B Fri, 11/06/2015 Ocwen Loan Servicing, LLC - Consent Agreement
Order Docket No. 16-021-S Thu, 09/01/2016 Obsidian Financial Group, LLC - Default Judgment and Order
Order Docket No. 20-037-I Wed, 01/27/2021 Northwestern Mutual Life Insurance Company Stipulation and Consent
Order Docket No. 17-013-B Mon, 05/08/2017 North American Securities Administrators Association
Order Docket No. 19-059-B Thu, 03/05/2020 North American Financial Management Stipulation and Consent
Order Docket No. 18-037-I Fri, 11/30/2018 Nikolaos Para Default Judgment and Order
Order Docket No. 21-042-I Tue, 01/11/2022 Nguyen Default Judgment And Order
Order Docket No. 22-022-S Thu, 01/26/2023 Nexo Inc., Nexo Capital, Inc. and Nexo Financial, LLC Stipulation and Consent Order
Order Docket No. 22-022-S Mon, 09/26/2022 Nexo Inc. Ex Parte Order to Cease and Desist
Order Docket No. 20-024-S Wed, 06/10/2020 Neurotherapeutics, Embera Stipulation and Consent
Order Docket No. 16-042-I Fri, 12/09/2016 MVP Health Plan Stipulation and Consent
Order Docket No. 15-007-B Fri, 05/15/2015 MSA Mortgage, LLC - Settlement Agreement
Order Docket No. 17-021-B Thu, 06/29/2017 Money Transmitter Receipts Guidance and Transition Period
Order Docket No. 11-026-S Tue, 05/31/2011 Michael Williams Stipulation and Consent Order
Order Docket No. 22-006-I Tue, 05/31/2022 Michael Smith Default Judgment and Order
Order Docket No. 21-005-I Tue, 05/11/2021 Michael Rossette Default Judgment and Order