DFR Regulations, Orders, Bulletins and Market Conduct Exams

Typesort descending Name Effective Date Title
Order Docket No. 14-001-S Fri, 01/17/2014 Robert Jamo and Quasar Distributors, LLC
Order Docket No. 20-029-S Wed, 10/14/2020 William J. Therieau Cease and Desist
Order Docket No. 19-062-I Wed, 03/04/2020 Jessica Hendrickson Default Judgement and Order
Order Docket No. 16-017-I Mon, 06/27/2016 In Re: Ryan Moore - Stipulation and Consent
Order Docket No. 18-054-I Tue, 10/15/2019 Matthew F Gains Default Judgement and Order
Order Docket No. 18-50-S Fri, 11/30/2018 In Re: Hall Labs LLC
Order Docket No. 18-030-S Fri, 05/25/2018 Cease and Desist Levelnet Inc. and Paul Shkliaev
Order Docket No. 13-004-I Fri, 04/19/2013 In Re: Triad Guaranty Stipulation and Consent
Order Docket No. 13-001-S Fri, 02/08/2013 UVEST Financial Services Group Consent Order
Order Docket No. 21-037-B Wed, 10/20/2021 Fairway Independent Mortgage Corporation Stipulation and Consent Order
Order Docket No. 13-058-B Thu, 12/19/2013 In Re: Ocwen Financial Corporation
Order Docket No. 15-026-I Mon, 10/12/2015 Applied Underwriters and SolutionOne Products
Order Docket No. 16-008-I Wed, 01/06/2016 Phenix Mutual Fire Insurance - Stipulation and Consent
Order Docket No. 20-007-I Tue, 04/14/2020 Kendra Aleman Default Judgement and Order
Order Docket No. 19-052-S Thu, 10/31/2019 Essex Securities LLC Stipulation and Consent Order
Order Docket No. 18-55-B Thu, 12/27/2018 Upstart Network, Inc.
Order Docket No. 18-029-S Thu, 07/26/2018 In Re: DA Davidson
Order Docket No. 19-049-I Wed, 11/20/2019 Louis Chames, Trupanion Managers USA, Inc., and American Pet Insurance Company
Order Docket No. 18-048-I Mon, 01/14/2019 In Re: State Farm Fire & Casualty Co and State Farm Mutual Auto Insurance Co
Order Docket No. 18-015-S Thu, 06/07/2018 In Re: Jacinto “Spirit Wolf” Vega, Jr.
Order Docket No. 13-003-I Wed, 05/01/2013 In Re: Connecticut General Life Insurance Stipulation and Consent
Order Docket No. 13-001-S Fri, 03/08/2013 ProEquities Consent Order
Order Docket No. 13-038-B Thu, 05/22/2014 Plaza Home Mortgage
Order Docket No. 16-007-I Mon, 03/07/2016 In Re; Liberty Insurance - Stipulation and Consent
Order Docket No. 20-016-S Wed, 03/18/2020 Fairholme Stipulation and Consent Order

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

802-828-3301
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833-337-4685 (toll free)

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