DFR Regulations, Orders, Bulletins and Market Conduct Exams

Typesort descending Name Effective Date Title
Order Docket No. 18-037-I Fri, 11/30/2018 Nikolaos Para Default Judgement and Order
Order Docket No. 14-015-I Thu, 01/22/2015 In Re: Jeffrey Faber - Order
Order Docket No. 19-019-S Wed, 01/08/2020 Liberty Partners Financial Services Stipulation and Consent
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. 13-046-S Mon, 02/24/2014 In Re: George Jones Lincoln
Order Docket No. 13-049-S Mon, 09/28/2015 In Re: Tucker Financial Services Stipulation and Consent Order
Order Docket No. 17-010-I Thu, 05/18/2017 USAA
Order Docket No. 18-046-I Tue, 04/16/2019 In Re: Deandre Maze-Carter Default Judgement and Order
Order Docket No. 20-024-S Wed, 06/10/2020 Neurotherapeutics, Embera Stipulation and Consent
Order Docket No. 14-092-I Wed, 12/03/2014 In Re: Oristano Capital, LLC - Stipulation and Consent
Order Docket No. 20-004-I Tue, 01/14/2020 Union Mutual Fire Insurance Company Stipulation and Consent
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. 15-021-B Tue, 07/07/2015 Sherman, Clay and Co - Stipulation and Consent
Order Docket No. 13-047-S Fri, 11/15/2013 State Farm Mutual Funds - Electronic Filings
Order Docket No. 18-051-I Mon, 05/13/2019 In Re: Michael Robert Dietzel Default Judgement and Order
Order Docket No. 21-007-S Fri, 04/30/2021 Louis Olave Stipulation and Consent Order
Order Docket No. 17-009-I Sun, 07/02/2017 In Re: InsuranceTek
Order Docket No. 20-023-S Tue, 06/16/2020 Overland Storage Stipulation and Consent
Order Docket No. 14-089-S Mon, 12/01/2014 UBS Financial Services - Consent Order
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. 15-007-B Fri, 05/15/2015 MSA Mortgage, LLC - Settlement Agreement
Order Docket No. 18-034-I Mon, 05/13/2019 In Re: Jessica Elaine Edney Default Judgement and Order
Order Docket No. 21-005-I Tue, 05/11/2021 Michael Rossette Default Judgement and Order

Pages

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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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