Skip to main content

DFR Regulations, Orders, Bulletins and Market Conduct Exams

Regulation Bulletins
Type Sort descending Name Effective Date Title
Order Docket No. 22-026-I Tue, 11/15/2022 Lewandowski Default Judgment and Order
Order Docket No. 22-025-I Tue, 11/15/2022 Sherman Default Judgment and Order
Order Docket No. 22-024-I Tue, 11/15/2022 Petroccia Default Judgment and Order
Order Docket No. 22-023-I Tue, 11/15/2022 Jones Default Judgment and Order
Order Docket No. 22-029-I Tue, 11/15/2022 Gagnard Default Judgment and Order
Order Docket No. 22-034-B Tue, 11/08/2022 Acceleron Corp. | Amended and Restated Order Granting Permission to Organize as an Investor-Owned Uninsured Bank
Order Docket No. 22-022-S Mon, 09/26/2022 Nexo Inc. Ex Parte Order to Cease and Desist
Order Docket No. 21-049-S Tue, 09/13/2022 Avantax Stipulation and Consent Order
Order Docket No. 21-048-S Wed, 09/14/2022 Polak Stipulation and Consent Order
Order Docket No. 22-004-S Tue, 09/13/2022 Voyager Ex Parte Order to Cease and Desist
Order Docket No. 22-016-I Wed, 08/17/2022 McCoy Default Judgment and Order
Order Docket No. 22-015-I Wed, 08/17/2022 Riley Default Judgment and Order
Order Docket No.22-021-S Fri, 08/12/2022 Celsius Order For Ex Parte Cease and Desist
Order Toler-22-010-I Tue, 07/12/2022 Uriah Toler Default Judgment and Order
Order Docket No. 23-020-B Tue, 10/17/2023 ACI Payments, Inc.; ACI Worldwide Corp.
Order Docket No. 24-005-B Fri, 03/22/2024 Sigue Corp. Interim Consent Order
Order Docket No. 23-024-I Wed, 03/13/2024 Default Judgment and Order in Re Gina Morrow
Order Docket No. 23-023-I Wed, 03/13/2024 Default Judgment and Order in Re Ryan Garry
Order Docket No. 24-001-S Mon, 01/22/2024 Consent Order in Re TradeStation Crypto, Inc.
Order Docket No. 24-002-S Mon, 01/22/2024 Order Authorizing Dual Registration Under the Vermont Uniform Securities Act Darraugh Valli, Agent (CRD # 2191309) and Cambridge Investment Research, Inc., Broker (CRD# 39543) et al
Order Docket No. 21-050-S Thu, 12/14/2023 Judgment and Order in Re Colomont, Inc. and Christopher Santee
Order Docket No. 23-21-I Tue, 12/12/2023 Order Approving Conversion of Granite Mutual Insurance Co to a Stock Insurance Co
Order Docket No. 22-011-S Mon, 12/11/2023 Stipulation and Consent Order in Re Thomas M. Chadwick, Chadwick & D'Amato
Order Docket No. 23-22-S Fri, 12/08/2023 Order Authorizing Multiple Registration Under VT Uniform Securities Act Thomas Meringolo, Agent (CRD# 4192542)
Order Docket No. 23-019-S Tue, 11/28/2023 Exeter Capital Companies, LLC Stipulation and Consent Order