DFR Regulations, Orders, Bulletins and Market Conduct Exams

Typesort descending Name Effective Date Title
Order Docket No. 19-055-S Fri, 12/20/2019 Maryland Cultivation and Processing Stipulation and Consent
Order Docket No. 14-022-S Mon, 04/07/2014 Registration Exemption for SolarCommunities, Inc - Order
Order Docket No. 10-029-S Mon, 04/19/2010 UBS Securities Consent Order
Order Docket No. 20-029-S Wed, 10/14/2020 William J. Therieau Cease and Desist
Order Docket No. 16-026-S Sun, 06/05/2016 Raymond James and Associates - Consent Order
Order Docket No. 20-007-I Tue, 04/14/2020 Kendra Aleman Default Judgement and Order
Order Docket No. 17-001-I Thu, 02/09/2017 YourPeople, Inc
Order Docket No. 12-020-B and 12-021-B Fri, 10/05/2012 VSECU Settlement Agreement
Order Docket No. 14-002-S Mon, 01/06/2014 Thomas Donnelly and Quasar Distributors, LLC
Order Docket No. 10-028-S Thu, 03/04/2010 Lisa Graves Consent Order
Order Docket No. 15-040-B Mon, 11/09/2015 Prospect Mortgage, LLC - Settlement Agreement and Order
Order Docket No. 20-016-S Wed, 03/18/2020 Fairholme Stipulation and Consent Order
Order Docket No. 17-016-I Tue, 08/01/2017 In Re: Liberty Mutual
Order Docket No. 12-012-B Fri, 05/11/2012 In Re: 8 VSA Chapter 73 - Order for Financial Advisors to Obtain Mortgage Loan Originator License Transition
Order Docket No. 19-019-S Wed, 01/08/2020 Liberty Partners Financial Services Stipulation and Consent
Order Docket No. 14-001-S Fri, 01/17/2014 Robert Jamo and Quasar Distributors, LLC
Order Docket No. 10-002-S Fri, 01/08/2010 Lincoln Financial Securities Consent Order
Order Docket No. 15-033-B Fri, 11/06/2015 Ocwen Loan Servicing, LLC - Consent Agreement
Order Docket No. 17-010-I Thu, 05/18/2017 USAA
Order Docket No. 13-004-I Fri, 04/19/2013 In Re: Triad Guaranty Stipulation and Consent
Order Docket No. 20-004-I Tue, 01/14/2020 Union Mutual Fire Insurance Company Stipulation and Consent
Order Docket No. 13-058-B Thu, 12/19/2013 In Re: Ocwen Financial Corporation
Order Docket No. 06-043-S Fri, 07/07/2006 Applying Provisions of Certain Regulations, Bulletins, Policy Statements, and Orders to the Vermont Securities Act
Order Docket No. 20-033-B Fri, 11/13/2020 Bitstamp LTD Stipulation and Consent Order
Order Docket No. 15-021-B Tue, 07/07/2015 Sherman, Clay and Co - Stipulation and Consent

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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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