DFR Regulations, Orders, Bulletins and Market Conduct Exams

Typesort descending Name Effective Date Title
Order Docket No. 16-026-S Sun, 06/05/2016 Raymond James and Associates - Consent Order
Order Docket No. 17-018-S Mon, 01/06/2020 Winthrop Investment Management Order
Order Docket No. 12-027-B Tue, 07/03/2012 In Re: IH Financial Licenses Inc. Stipulation and Consent
Order Docket No. 17-013-B Mon, 05/08/2017 North American Securities Administrators Association
Order Docket No. 10-031-S Mon, 04/05/2010 Stifel, Nicolaus and Co Consent Order
Order Docket No. 14-022-S Mon, 04/07/2014 Registration Exemption for SolarCommunities, Inc - Order
Order Docket No. 22-001-I Tue, 04/05/2022 Amanda Eubank Default Judgment And Order
Order Docket No. 21-005-I Tue, 05/11/2021 Michael Rossette Default Judgement and Order
Order Docket No. 15-040-B Mon, 11/09/2015 Prospect Mortgage, LLC - Settlement Agreement and Order
Order RESCINDED - Docket No. 16-019-S Thu, 04/04/2019 First Financial Equity Corporation Order and Consent (Rescinded)
Order Docket No. 12-020-B and 12-021-B Fri, 10/05/2012 VSECU Settlement Agreement
Order Docket No. 17-001-I Thu, 02/09/2017 YourPeople, Inc
Order Docket No. 10-030-S Wed, 04/28/2010 Wells Fargo Investments Consent Order
Order Docket No. 14-002-S Mon, 01/06/2014 Thomas Donnelly and Quasar Distributors, LLC
Order Docket No. 21-038-I Mon, 04/11/2022 Acadia Insurance Stipulation And Consent Order
Order Docket No. 15-033-B Fri, 11/06/2015 Ocwen Loan Servicing, LLC - Consent Agreement
Order Docket No. 19-055-S Fri, 12/20/2019 Maryland Cultivation and Processing Stipulation and Consent
Order Docket No. 12-012-B Fri, 05/11/2012 In Re: 8 VSA Chapter 73 - Order for Financial Advisors to Obtain Mortgage Loan Originator License Transition
Order Docket No. 17-016-I Tue, 08/01/2017 In Re: Liberty Mutual
Order Docket No. 10-029-S Mon, 04/19/2010 UBS Securities Consent Order
Order Docket No. 14-001-S Fri, 01/17/2014 Robert Jamo and Quasar Distributors, LLC
Order Docket No. 13-058-B Thu, 12/19/2013 In Re: Ocwen Financial Corporation
Order Docket No. 21-020-I Wed, 06/09/2021 Michael Fish Default Judgment and Order
Order Docket No. 15-021-B Tue, 07/07/2015 Sherman, Clay and Co - Stipulation and Consent
Order Docket No. 13-004-I Fri, 04/19/2013 In Re: Triad Guaranty Stipulation and Consent

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

802-828-3301
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833-337-4685 (toll free)

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