DFR Regulations, Orders, Bulletins and Market Conduct Exams

Typesort descending Name Effective Date Title
Order Docket No. 15-008-I Wed, 08/05/2015 In Re: Alton Willard - Default Judgement and Order
Order Docket No. 10-028-S Thu, 03/04/2010 Lisa Graves Consent Order
Order Docket No. 16-022-S Tue, 09/06/2016 EKN Financial Services, Inc - Default Judgement and Order
Order Docket No. 20-031-I Wed, 02/24/2021 Order for Revocation of License - Jones
Order Docket No. 17-031-B Thu, 03/15/2018 In Re: Mercari, Inc
Order Docket No. 12-031-I Sun, 02/10/2013 Horace Mann Insurance Stipulation and Consent Order
Order Docket No. 19-064-I Wed, 03/04/2020 Deborah Miner Default Judgement and Order
Order Docket No. 13-041-I Mon, 11/18/2013 In Re: Travis Shine - Stipulation and Consent
Order Docket No. 19-003-S Fri, 03/08/2019 In RE: Flipside Cryto, Active Eight LLC
Order Docket No. 10-002-S Fri, 01/08/2010 Lincoln Financial Securities Consent Order
Order Docket No. 16-021-S Thu, 09/01/2016 Obsidian Financial Group, LLC - Default Judgement and Order
Order Docket No. 20-038-B Sat, 02/27/2021 Wave Financial Stipulation and Consent
Order Docket No. 17-023-B Mon, 12/18/2017 In Re: Yapstone Holdings, Inc
Order Docket No. 19-065-I Wed, 03/04/2020 Jasmyne Franking Default Order and Judgement
Order Docket No. 13-040-I Wed, 11/06/2013 In Re: Lorraine Locke - Stipulation and Consent
Order Docket No. 19-019-S Wed, 01/08/2020 Liberty Partners Financial Services Stipulation and Consent
Order Docket No. 19-004-S Thu, 03/14/2019 In RE: Flipside Cryto, Managed 9 LLC
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. 16-020-S Thu, 09/01/2016 Aletheia Securities, Inc - Default Judgement and Order
Order Docket No. 20-029-S Tue, 03/16/2021 Therieau Financial Services Final Order
Order Docket No. 17-021-B Thu, 06/29/2017 Money Transmitter Receipts Guidance and Transition Period
Order Docket No. 18-020-S Fri, 05/03/2019 Harris, Weigand, and Global Mining Default Judgement and Order
Order Docket No. 19-067-I Wed, 03/04/2020 Serena Morris Default Judgement and Order
Order Docket No. 13-031-I Tue, 10/22/2013 Dairyland Insurance - Stipulation and Consent
Order Docket No. 20-004-I Tue, 01/14/2020 Union Mutual Fire Insurance Company 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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