DFR Regulations, Orders, Bulletins and Market Conduct Exams

Typesort descending Name Effective Date Title
Order Docket No. 13-003-I Wed, 05/01/2013 In Re: Connecticut General Life Insurance Stipulation and Consent
Order Docket No. 19-022-S Wed, 06/05/2019 Gallatin Capital LLC Stipulation and Consent Order
Order Docket No. 13-038-B Thu, 05/22/2014 Plaza Home Mortgage
Order Docket No. 16-025-S Thu, 06/09/2016 Wells Fargo Advisors LLC
Order Docket No. 17-014-B Mon, 07/03/2017 In Re: DOXO, Inc
Order Docket No. 20-008-S Tue, 02/25/2020 Thornton Investment Management Stipulation and Consent
Order Docket No. 13-002-I Wed, 03/13/2013 In Re: Vermont Health Benefit Exchange - Rate Structure and Multipliers
Order Docket No. 19-021-S Thu, 08/29/2019 IBN Financial Services, Inc Stipulation And Consent Order
Order Docket No. 13-033-B Fri, 01/10/2014 Lisa Fendelet - Order
Order Docket No. 20-033-B Fri, 11/13/2020 Bitstamp LTD Stipulation and Consent Order
Order Docket No. 16-026-S Sun, 06/05/2016 Raymond James and Associates - Consent Order
Order Docket No. 20-005-S Thu, 04/30/2020 Merrill Lynch Stipulation and Consent
Order Docket No. 17-013-B Mon, 05/08/2017 North American Securities Administrators Association
Order Docket No. 20-009-S Fri, 03/06/2020 Solium Financial Services LLC Stipulation and Consent
Order Docket No. 12-056-I Mon, 01/30/2012 In Re: William A Newburn Default Judgement and Order
Order Docket No. 19-038-S Wed, 09/04/2019 Advanced Science Research Inc Stipulation and Consent Order
Order Docket No. 13-026-B Mon, 09/09/2013 In Re: NetSpeed Corporation
Order Docket No. 19-023-I Tue, 07/02/2019 Order for the Acquisition of Control of WellCare Health Plans of Vermont, Inc. by Centene Corporation
Order Docket No. 20-030-I Tue, 11/03/2020 Benjamin Scherer Ex Parte Order Suspending License
Order Docket No. 15-040-B Mon, 11/09/2015 Prospect Mortgage, LLC - Settlement Agreement and Order
Order Docket No. 20-014-I Tue, 04/28/2020 Zahirah Laila Martinez Default Judgment and Order
Order Docket No. 17-001-I Thu, 02/09/2017 YourPeople, Inc
Order Docket No. 19-056-I Thu, 03/05/2020 Robert Lewis Stewart Stipulation and Consent
Order Docket No. 12-052-I Tue, 01/22/2013 In Re: Jeffrey Douglas Penta Default Judgement and Order
Order Docket No. 19-035-S Mon, 09/16/2019 LiquidPiston, Inc. Stipulation and Consent Order

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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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