DFR Regulations, Orders, Bulletins and Market Conduct Exams

Typesort ascending Name Effective Date Title
Order Docket No. 21-032-I Thu, 08/26/2021 Trupanion and American Pet Insurance Company Stipulation and Consent
Order Docket No. 10-032-S Tue, 04/27/2010 Goldman Sachs Consent Order
Order Docket No. 16-001-S Wed, 06/01/2016 Repealing In Part Order 06-023-S
Order Docket No. 21-048-S Wed, 09/14/2022 Polak Stipulation and Consent Order
Order Docket No. 13-047-S Fri, 11/15/2013 State Farm Mutual Funds - Electronic Filings
Order Docket No. 19-059-B Thu, 03/05/2020 North American Financial Management Stipulation and Consent
Order Docket No. 17-015-B Thu, 06/15/2017 Glenview Auto Loan Amended Order to Cease and Desist
Order Docket No. 21-036-I Fri, 11/05/2021 Marco Antonio Vasquez Default Judgment and Order
Order Docket No. 17-018-S Mon, 01/06/2020 Winthrop Investment Management Order
Order Docket No. 14-089-S Mon, 12/01/2014 UBS Financial Services - Consent Order
Order Docket No. 21-028-I Wed, 09/15/2021 Adam Damrill Default Judgement and Order
Order Docket No. 10-031-S Mon, 04/05/2010 Stifel, Nicolaus and Co Consent Order
Order Docket No. 16-025-S Thu, 06/09/2016 Wells Fargo Advisors LLC
Order Docket No. 21-049-S Tue, 09/13/2022 Avantax Stipulation and Consent Order
Order Docket No. 17-014-B Mon, 07/03/2017 In Re: DOXO, Inc
Order Docket No. 21-030-I Fri, 11/05/2021 William Gillus Default Judgment and Order
Order Docket No. 12-050-B Thu, 12/06/2012 In Re: Border Lodge Credit Union - Amended Order
Order RESCINDED - Docket No. 16-019-S Thu, 04/04/2019 First Financial Equity Corporation Order and Consent (Rescinded)
Order Docket No. 14-024-S Tue, 05/27/2014 Jason Oleet and Middlebury Securities, LLC - Order
Order Docket No. 10-030-S Wed, 04/28/2010 Wells Fargo Investments Consent Order
Order Docket No. 20-029-S Wed, 10/14/2020 William J. Therieau Cease and Desist
Order Docket No. 16-026-S Sun, 06/05/2016 Raymond James and Associates - Consent Order
Order Docket No. 17-013-B Mon, 05/08/2017 North American Securities Administrators Association
Order Docket No. 21-025-S Mon, 02/14/2022 BlockFi Consent Order
Order Docket No. 12-027-B Tue, 07/03/2012 In Re: IH Financial Licenses Inc. Stipulation and Consent

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

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833-337-4685 (toll free)

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