DFR Regulations, Orders, Bulletins and Market Conduct Exams

Typesort descending Name Effective Date Title
Order Docket No. 18-014-I Tue, 07/10/2018 In Re: Saul D. Suster
Order Docket No. 13-049-S Mon, 09/28/2015 In Re: Tucker Financial Services Stipulation and Consent Order
Order Docket No. 19-064-I Wed, 03/04/2020 Deborah Miner Default Judgement and Order
Order Docket No. 19-046-I Tue, 11/26/2019 John Hancock Life Insurance Company Stipulation and Consent
Order Docket No. 18-046-I Tue, 04/16/2019 In Re: Deandre Maze-Carter Default Judgement and Order
Order Docket No. 11-008-S Fri, 03/04/2011 Robert Cully and Winslow, Evans & Crocker
Order Docket No. 14-089-S Mon, 12/01/2014 UBS Financial Services - Consent Order
Order Docket No. 16-036-I Mon, 06/26/2017 In Re: Deborah LeFaivre - Default Judgement and Order
Order Docket No. 20-038-B Sat, 02/27/2021 Wave Financial Stipulation and Consent
Order Docket No. 18-012-I Fri, 02/23/2018 In Re: BlueCross BlueShield of Vermont
Order Docket No. 13-047-S Fri, 11/15/2013 State Farm Mutual Funds - Electronic Filings
Order Docket No. 19-065-I Wed, 03/04/2020 Jasmyne Franking Default Order and Judgement
Order Docket No. 03-038-I Wed, 12/01/2004 John Hancock Life Insurance Company Consent Order
Order Docket No. 11-007-S Sun, 02/13/2011 Henry Corrao and EKN Financial Services
Order Docket No. 14-024-S Tue, 05/27/2014 Jason Oleet and Middlebury Securities, LLC - Order
Order Docket No. 16-036-I Tue, 09/13/2016 In Re: Deborah LeFaivre - Exparte Order for Summary Suspension
Order Docket No. 20-029-S Tue, 03/16/2021 Therieau Financial Services Final Order
Order Docket No. 18-004-I Mon, 04/02/2018 In Re: Mario A. Rodas
Order Docket No. 19-067-I Wed, 03/04/2020 Serena Morris Default Judgement and Order
Order Docket No. 12-050-B Thu, 12/06/2012 In Re: Border Lodge Credit Union - Amended Order
Order Docket No. 10-080-S Thu, 09/23/2010 Electronic Notice Filing of Certain Federal Covered Securities with Vermont
Order Docket No. 14-022-S Mon, 04/07/2014 Registration Exemption for SolarCommunities, Inc - Order
Order Docket No. 16-035-I Wed, 11/09/2016 In Re: Brittany Ouellette, Default Judgement and Order
Order Docket No. 20-041-I Thu, 03/18/2021 Wurtz Stipulation and Consent Order
Order Docket No. 18-049-S Tue, 11/27/2018 Stock Investment Management Inc.

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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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