DFR Regulations, Orders, Bulletins and Market Conduct Exams

Typesort descending Name Effective Date Title
Order Docket No. 13-046-S Mon, 02/24/2014 In Re: George Jones Lincoln
Order Docket No. 16-011-S, 16-012-S Tue, 09/13/2016 In Re: Alan Dauphin - Stipulation and Consent
Order Docket No. 13-001-S Fri, 03/08/2013 ProEquities Consent Order
Order Docket No. 18-045-I Tue, 04/16/2019 In Re: David Wayne Judge Default Judgement and Order
Order Docket No. 17-017-B Thu, 06/15/2017 State Regulatory Registry LLC and NMLS
Order Docket No. 14-015-I Thu, 01/22/2015 In Re: Jeffrey Faber - 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. 19-061-I Wed, 03/04/2020 Kathryn Rodriguez Default Judgement and Order
Order Docket No. 19-040-I Thu, 11/21/2019 Companion Life Insurance Company Stipulation and Consent
Order Docket No. 13-049-S Mon, 09/28/2015 In Re: Tucker Financial Services Stipulation and Consent Order
Order Docket No. 16-001-S Wed, 06/01/2016 Repealing In Part Order 06-023-S
Order Docket No. 12-022-S Mon, 02/13/2012 Ronald Berman and Axiom Capital Management Order Removing Conditions
Order Docket No. 18-046-I Tue, 04/16/2019 In Re: Deandre Maze-Carter Default Judgement and Order
Order Docket No. 17-015-B Sun, 05/07/2017 Glenview Auto Loan ExParte Order to Cease and Desist
Order Docket No. 14-092-I Wed, 12/03/2014 In Re: Oristano Capital, LLC - Stipulation and Consent
Order Docket No. 20-037-I Wed, 01/27/2021 Northwestern Mutual Life Insurance Company Stipulation and Consent
Order Docket No. 20-006-I Wed, 03/18/2020 Joany Inc Default Judgement and Order
Order Docket No. 19-066-I Wed, 03/04/2020 Jaymore Hicks Default Judgement and Order
Order Docket No. 13-047-S Fri, 11/15/2013 State Farm Mutual Funds - Electronic Filings
Order Docket No. 12-003-S Thu, 01/19/2012 Barry Cassese and KC Ward Financial
Order Docket No. 17-015-B Thu, 06/15/2017 Glenview Auto Loan Amended Order to Cease and Desist
Order Docket No. 14-089-S Mon, 12/01/2014 UBS Financial Services - Consent Order
Order Docket No. 20-036-I Wed, 02/24/2021 Order for Revocation of License - Thandi
Order Docket No. 19-63-I Wed, 03/04/2020 Tori Liporace Default Judgement and Order
Order Docket No. 19-046-I Tue, 11/26/2019 John Hancock Life Insurance Company Stipulation and Consent

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Department of Financial Regulation
Consumer Services 
89 Main Street, Montpelier, VT 05620 - 3101

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833-337-4685 (toll free)

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