DFR Regulations, Orders, Bulletins and Market Conduct Exams

Typesort ascending Name Effective Date Title
Order Docket No. 17-017-B Thu, 06/15/2017 State Regulatory Registry LLC and NMLS
Order Docket No. 14-089-S Mon, 12/01/2014 UBS Financial Services - Consent Order
Order Docket No. 19-046-I Tue, 11/26/2019 John Hancock Life Insurance Company Stipulation and Consent
Order Docket No. 11-026-S Tue, 05/31/2011 Michael Williams Stipulation and Consent Order
Order Docket No. 21-005-I Tue, 05/11/2021 Michael Rossette Default Judgement and Order
Order Docket No. 16-001-S Wed, 06/01/2016 Repealing In Part Order 06-023-S
Order Docket No. 12-050-B Thu, 12/06/2012 In Re: Border Lodge Credit Union - Amended Order
Order Docket No. 17-015-B Sun, 05/07/2017 Glenview Auto Loan ExParte Order to Cease and Desist
Order Docket No. 14-024-S Tue, 05/27/2014 Jason Oleet and Middlebury Securities, LLC - Order
Order Docket No. 03-038-I Wed, 12/01/2004 John Hancock Life Insurance Company Consent Order
Order Docket No. 11-008-S Fri, 03/04/2011 Robert Cully and Winslow, Evans & Crocker
Order Docket No. 12-027-B Tue, 07/03/2012 In Re: IH Financial Licenses Inc. Stipulation and Consent
Order Docket No. 17-015-B Thu, 06/15/2017 Glenview Auto Loan Amended Order to Cease and Desist
Order Docket No. 14-022-S Mon, 04/07/2014 Registration Exemption for SolarCommunities, Inc - Order
Order Docket No. 11-007-S Sun, 02/13/2011 Henry Corrao and EKN Financial Services
Order Docket No. 21-020-I Wed, 06/09/2021 Michael Fish Default Judgment and Order
Order Docket No. 16-025-S Thu, 06/09/2016 Wells Fargo Advisors LLC
Order Docket No. 12-020-B and 12-021-B Fri, 10/05/2012 VSECU Settlement Agreement
Order Docket No. 17-014-B Mon, 07/03/2017 In Re: DOXO, Inc
Order Docket No. 14-002-S Mon, 01/06/2014 Thomas Donnelly and Quasar Distributors, LLC
Order Docket No. 14-001-S Fri, 01/17/2014 Robert Jamo and Quasar Distributors, LLC
Order Docket No. 19-051-I Mon, 12/16/2019 Anthony John Panza Stipulation and Consent
Order Docket No. 10-080-S Thu, 09/23/2010 Electronic Notice Filing of Certain Federal Covered Securities with Vermont
Order Docket No. 21-026-I Thu, 07/01/2021 Coding And Reimbursement For Audio-Only Telephone Services Required by Act 6 of 2021
Order Docket No. 16-026-S Sun, 06/05/2016 Raymond James and Associates - Consent Order

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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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