DFR Regulations, Orders, Bulletins and Market Conduct Exams

Typesort descending Name Effective Date Title
Order Docket No. 12-003-S Thu, 01/19/2012 Barry Cassese and KC Ward Financial
Order Docket No. 17-032-B Mon, 02/06/2017 In Re: Transferwise
Order Docket No. 21-015-I Fri, 04/09/2021 Patriot Insurance Company Stipulation and Consent Order
Order Docket No. 12-044-I Fri, 01/18/2013 In Re: Tasheanna Barnes Default Judgement and Order
Order Docket No. 20-026-S (Amendment) Wed, 06/10/2020 Patrick Mazza Amendment to Ex Parte Order to Cease and Desist
Order Docket No. 13-055-I Mon, 12/16/2013 In Re: John Bendel - Stipulation and Consent
Order Docket No. 19-046-I Tue, 11/26/2019 John Hancock Life Insurance Company Stipulation and Consent
Order Docket No. 16-022-S Tue, 09/06/2016 EKN Financial Services, Inc - Default Judgement and Order
Order Docket No. 15-020-I Wed, 07/15/2015 In Re: Geico - Stipulation and Consent
Order Docket No. 11-026-S Tue, 05/31/2011 Michael Williams Stipulation and Consent Order
Order Docket No. 17-031-B Thu, 03/15/2018 In Re: Mercari, Inc
Order Docket No. 21-013-I Thu, 04/08/2021 Transamerica Stipulation and Consent Order
Order Docket No. 12-043-I Mon, 01/07/2013 In Re: Mark Patrick Santos Default Judgement and Order
Order Docket No. 20-026-S Mon, 06/08/2020 Patrick Mazza Ex Parte Order to Cease and Desist
Order Docket No. 13-053-I Mon, 12/16/2013 In Re: Dorothy Toro-Clafin - Stipulation and Consent
Order Docket No. 03-038-I Wed, 12/01/2004 John Hancock Life Insurance Company Consent Order
Order Docket No. 16-021-S Thu, 09/01/2016 Obsidian Financial Group, LLC - Default Judgement and Order
Order Docket No. 15-019-I Tue, 06/09/2015 Maine Mutual - Stipulation and Consent
Order Docket No. 11-008-S Fri, 03/04/2011 Robert Cully and Winslow, Evans & Crocker
Order Docket No. 17-023-B Mon, 12/18/2017 In Re: Yapstone Holdings, Inc
Order Docket No. 12-042-I Fri, 01/11/2013 In Re: Robin Louella Hixon Default Judgement and Order
Order Docket No. 18-037-I Fri, 11/30/2018 Nikolaos Para Default Judgement and Order
Order Docket No. 13-048-I Tue, 11/05/2013 In Re: Jessica Myers - Stipulation and Consent
Order Docket No. 16-020-S Thu, 09/01/2016 Aletheia Securities, Inc - Default Judgement and Order
Order Docket No. 15-018-I Mon, 06/15/2015 State Farm Fire and Casualty - 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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