DFR Regulations, Orders, Bulletins and Market Conduct Exams

Typesort descending Name Effective Date Title
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. 19-008-S Fri, 02/22/2019 In Re: FP Capitol, LLC
Order Docket No. 21-037-B Wed, 10/20/2021 Fairway Independent Mortgage Corporation Stipulation and Consent Order
Order Docket No. 13-004-I Fri, 04/19/2013 In Re: Triad Guaranty Stipulation and Consent
Order Docket No. 16-025-S Thu, 06/09/2016 Wells Fargo Advisors LLC
Order Docket No. 13-058-B Thu, 12/19/2013 In Re: Ocwen Financial Corporation
Order Docket No. 17-014-B Mon, 07/03/2017 In Re: DOXO, Inc
Order Docket No. 19-007-I Thu, 02/07/2019 BCBSVT Risk Based Capital Order
Order Docket No. 20-007-I Tue, 04/14/2020 Kendra Aleman Default Judgement and Order
Order Docket No. 20-004-I Tue, 01/14/2020 Union Mutual Fire Insurance Company Stipulation and Consent
Order Docket No. 15-028-I Fri, 10/30/2015 Mark Bean Stipulation and Consent
Order Docket No. 19-039-I Mon, 08/12/2019 Danjack Enterprises Stipulation and Consent Order
Order Docket No. 21-033-I Mon, 11/08/2021 Kristina Chamis Default Judgement and Order
Order Docket No. 13-003-I Wed, 05/01/2013 In Re: Connecticut General Life Insurance Stipulation and Consent
Order Docket No. 18-051-I Mon, 05/13/2019 In Re: Michael Robert Dietzel Default Judgement and Order
Order Docket No. 16-026-S Sun, 06/05/2016 Raymond James and Associates - Consent Order
Order Docket No. 13-038-B Thu, 05/22/2014 Plaza Home Mortgage
Order Docket No. 17-013-B Mon, 05/08/2017 North American Securities Administrators Association
Order Docket No. 20-016-S Wed, 03/18/2020 Fairholme Stipulation and Consent Order
Order Docket No. 19-070-B Tue, 01/21/2020 Uphold HQ Stipulation and Consent
Order Docket No. 19-024-S Thu, 08/01/2019 375 North Avenue Stipulation and Consent Order
Order Docket No. 21-039-I Mon, 11/22/2021 Ronald Sims Default Order and Judgement
Order Docket No. 13-002-I Wed, 03/13/2013 In Re: Vermont Health Benefit Exchange - Rate Structure and Multipliers
Order Docket No. 18-034-I Mon, 05/13/2019 In Re: Jessica Elaine Edney Default Judgement and Order
Order Docket No. 15-040-B Mon, 11/09/2015 Prospect Mortgage, LLC - Settlement Agreement and Order

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