DFR Regulations, Orders, Bulletins and Market Conduct Exams

Typesort descending Name Effective Date Title
Order Docket No. 19-042-S Tue, 09/10/2019 Broad Street Capital Markets LLC - Ex Parte Order to Cease and Desist
Order Docket No. 14-036-I Thu, 03/19/2015 In Re: Christopher Corley - Stipulation and Consent
Order Docket No. 19-012-S Fri, 05/31/2019 In Re: Future Income Payments Final Order to Cease and Desist
Order Docket No. 21-047-I Wed, 12/22/2021 Merger of ProAssurance Specialty into Noetic Specialty Insurance Company
Order Docket No. 16-007-I Mon, 03/07/2016 In Re; Liberty Insurance - Stipulation and Consent
Order Docket No. 20-035-I Wed, 02/24/2021 Order for Revocation of License - GCIB
Order Docket No. 12-005-I Fri, 04/20/2012 In Re: Roy Allen Gray Default Judgement and Order
Order Docket No. 18-011-S Wed, 02/21/2018 In Re: Merrill Lynch
Order Docket No. 19-064-I Wed, 03/04/2020 Deborah Miner Default Judgement and Order
Order Docket No. 19-058-I Tue, 02/11/2020 Osmund Josiah Marcellin Default Judgement and Order
Order Docket No. 19-010-I Fri, 04/12/2019 In Re: Todd Brandon Stipulation and Consent
Order Docket No. 19-034-S Fri, 08/23/2019 IN RE: Escondido Village 388 DE Stipulation and Consent Order
Order Docket No. 14-026-I Mon, 09/15/2014 In Re: Deborah Lefaivre - Consent Order
Order Docket No. 22-007-B Wed, 03/16/2022 Bank of Burlington - Order Granting Permission to Organize as an Investor-Owned Universal Financial Institution
Order Docket No. 19-006-B Wed, 05/22/2019 In Re: Poloniex LLC Stipulation and Consent Order
Order Docket No. 21-052-B Thu, 01/06/2022 Stratex Holdco, LLC Stipulation and Consent
Order Docket No. 16-027-S Thu, 08/25/2016 In Re: Gregory Lambesis - Stipulation and Consent
Order Docket No. 20-031-I Wed, 02/24/2021 Order for Revocation of License - Jones
Order Docket No. 12-002-I Thu, 06/04/2015 In Re: National Motor Club Order to Cease and Desist
Order Docket No. 17-032-B Mon, 02/06/2017 In Re: Transferwise
Order Docket No. 19-065-I Wed, 03/04/2020 Jasmyne Franking Default Order and Judgement
Order Docket No. 19-024-S Mon, 11/25/2019 Sally Jane Boyle Stipulation and Consent
Order Docket No. 18-045-I Tue, 04/16/2019 In Re: David Wayne Judge Default Judgement and Order
Order Docket No. 19-022-S Wed, 06/05/2019 Gallatin Capital LLC Stipulation and Consent Order
Order Docket No. 14-015-I Thu, 01/22/2015 In Re: Jeffrey Faber - Order

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

802-828-3301
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833-337-4685 (toll free)

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