DFR Regulations, Orders, Bulletins and Market Conduct Exams

Typesort descending Name Effective Date Title
Order Docket No. 20-027-S Fri, 07/10/2020 Order Removing Conditions from in the Matter of John A. Bodnar And International Assets Advisory, LLC International Assets Investment Management, LLC Docket No. 17-011-S, April 28, 2017
Order Docket No. 16-038-S Tue, 04/26/2016 LPL Financial Consent Order
Order Docket No. 13-022-S Thu, 10/10/2013 In Re: Surety Services Stipulation and Consent Order
Order Docket No. 12-005-I Fri, 04/20/2012 In Re: Roy Allen Gray Default Judgement and Order
Order Docket No. 16-011-S, 16-012-S Tue, 09/13/2016 In Re: Alan Dauphin - Stipulation and Consent
Order Docket No. 19-014-I Mon, 04/15/2019 CMFG Stipulation and Consent Order
Order Docket No. 17-017-B Thu, 06/15/2017 State Regulatory Registry LLC and NMLS
Order Docket No. 19-062-I Wed, 03/04/2020 Jessica Hendrickson Default Judgement and Order
Order Docket No. 21-026-I Thu, 07/01/2021 Coding And Reimbursement For Audio-Only Telephone Services Required by Act 6 of 2021
Order Docket No. 14-026-I Mon, 09/15/2014 In Re: Deborah Lefaivre - Consent Order
Order Docket No. 19-052-S Thu, 10/31/2019 Essex Securities LLC Stipulation and Consent Order
Order Docket No. 20-018-I Thu, 08/06/2020 State Farm Life Insurance Stipulation and Consent
Order Docket No. 13-001-S Fri, 02/08/2013 UVEST Financial Services Group Consent Order
Order Docket No. 12-002-I Thu, 06/04/2015 In Re: National Motor Club Order to Cease and Desist
Order Docket No. 16-001-S Wed, 06/01/2016 Repealing In Part Order 06-023-S
Order Docket No. 19-010-I Fri, 04/12/2019 In Re: Todd Brandon Stipulation and Consent
Order Docket No. 17-015-B Sun, 05/07/2017 Glenview Auto Loan ExParte Order to Cease and Desist
Order Docket No. 21-025-S Mon, 07/26/2021 BlockFI Show Cause Order
Order Docket No. 14-015-I Thu, 01/22/2015 In Re: Jeffrey Faber - Order
Order Docket No. 19-049-I Wed, 11/20/2019 Louis Chames, Trupanion Managers USA, Inc., and American Pet Insurance Company
Order Docket No. 20-025-B Fri, 08/28/2020 Grander Mortgage Capital Order Refusing to Renew and Terminating Loan Servicer License
Order Docket No. 21-034-I Fri, 11/05/2021 Benjamin Feick Default Judgment and Order
Order Docket No. 13-001-S Fri, 03/08/2013 ProEquities Consent Order
Order Docket No. 20-017-S Wed, 03/18/2020 Benchmark Company Stipulation and Consent
Order Docket No. 13-046-S Mon, 02/24/2014 In Re: George Jones Lincoln

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

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