DFR Regulations, Orders, Bulletins and Market Conduct Exams

Typesort descending Name Effective Date Title
Order Docket No. 16-020-S Thu, 09/01/2016 Aletheia Securities, Inc - Default Judgement and Order
Order Docket No. 13-046-S Mon, 02/24/2014 In Re: George Jones Lincoln
Order Docket No. 20-017-S Wed, 03/18/2020 Benchmark Company Stipulation and Consent
Order Docket No. 17-017-B Thu, 06/15/2017 State Regulatory Registry LLC and NMLS
Order Docket No. 18-045-I Tue, 04/16/2019 In Re: David Wayne Judge Default Judgement and Order
Order Docket No. 19-050-I Thu, 12/19/2019 Lorie Jean Zylicz Default Judgement and Order
Order Docket No. 14-015-I Thu, 01/22/2015 In Re: Jeffrey Faber - Order
Order Docket No. 21-016-I Mon, 07/26/2021 Brittney McCutcheon Default Judgment and Order
Order Docket No. 10-038-S Wed, 05/05/2010 Van Hamm and Meyers Associates Consent Order
Order Docket No. 20-025-B Fri, 08/28/2020 Grander Mortgage Capital Order Refusing to Renew and Terminating Loan Servicer License
Order Docket No. 16-011-S, 16-012-S Tue, 09/13/2016 In Re: Alan Dauphin - 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. 17-015-B Sun, 05/07/2017 Glenview Auto Loan ExParte Order to Cease and Desist
Order Docket No. 18-046-I Tue, 04/16/2019 In Re: Deandre Maze-Carter Default Judgement and Order
Order Docket No. 19-029-I and 19-029-S Fri, 12/20/2019 Jack Trainham and Retirement And College Financial Services of Vermont Stipulation and Consent
Order Docket No. 14-092-I Wed, 12/03/2014 In Re: Oristano Capital, LLC - Stipulation and Consent
Order Docket No. 21-032-I Thu, 08/26/2021 Trupanion and American Pet Insurance Company Stipulation and Consent
Order Docket No. 10-032-S Tue, 04/27/2010 Goldman Sachs Consent Order
Order Docket No. 16-001-S Wed, 06/01/2016 Repealing In Part Order 06-023-S
Order Docket No. 13-047-S Fri, 11/15/2013 State Farm Mutual Funds - Electronic Filings
Order Docket No. 19-059-B Thu, 03/05/2020 North American Financial Management Stipulation and Consent
Order Docket No. 17-015-B Thu, 06/15/2017 Glenview Auto Loan Amended Order to Cease and Desist
Order Docket No. 17-018-S Mon, 01/06/2020 Winthrop Investment Management Order
Order Docket No. 14-089-S Mon, 12/01/2014 UBS Financial Services - Consent Order
Order Docket No. 21-028-I Wed, 09/15/2021 Adam Damrill Default Judgement and Order

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Contact Information

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

802-828-3301
833-DFR-HOTLINE (toll free)
833-337-4685 (toll free)

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