DFR Regulations, Orders, Bulletins and Market Conduct Exams

Typesort ascending Name Effective Date Title
Order Docket No. 13-001-S Fri, 03/08/2013 ProEquities Consent Order
Order Docket No. 12-022-S Mon, 02/13/2012 Ronald Berman and Axiom Capital Management Order Removing Conditions
Order Docket No. 20-024-S Wed, 06/10/2020 Neurotherapeutics, Embera Stipulation and Consent
Order Docket No. 16-008-I Wed, 01/06/2016 Phenix Mutual Fire Insurance - Stipulation and Consent
Order Docket No. 22-019-I Fri, 06/24/2022 Audio-Only Telephone Services Order
Order Docket No. 12-023-I Wed, 02/13/2013 Bankers Life Stipulation and Consent Order
Order Docket No. 18-029-S Thu, 07/26/2018 In Re: DA Davidson
Order Docket No. 20-006-I Wed, 03/18/2020 Joany Inc Default Judgement and Order
Order Docket No. 21-041-I Tue, 01/11/2022 Jeffrey Brown Default Judgment and Order
Order Docket No. 13-011-I Wed, 12/17/2014 In Re: Prest and Associates - Stipulation and Consent
Order Docket No. 19-040-I Thu, 11/21/2019 Companion Life Insurance Company Stipulation and Consent
Order Docket No. 14-028-B Thu, 06/12/2014 In Re: MH Pillars, Inc - Stipulation and Consent
Order Docket No. 12-003-S Thu, 01/19/2012 Barry Cassese and KC Ward Financial
Order Docket No. 20-023-S Tue, 06/16/2020 Overland Storage Stipulation and Consent
Order Docket No. 16-007-I Mon, 03/07/2016 In Re; Liberty Insurance - Stipulation and Consent
Order IAIC Final Stipulation Order Fri, 08/05/2022 IAIC Final Stipulation Order
Order Docket No. 12-014-I Tue, 05/22/2012 In Re: National Council on Compensation Insurance Order Adopting Report of Examination
Order Docket No. 18-015-S Thu, 06/07/2018 In Re: Jacinto “Spirit Wolf” Vega, Jr.
Order Docket No. 21-044-I Tue, 01/11/2022 Default Judgment and Order Arvizu
Order Docket No. 13-008-I Thu, 04/11/2013 In Re: Ullico Casualty - Order to Cease and Desist
Order Docket No. 14-004-B Thu, 04/03/2014 In Re: United Capital Business Lending, Inc - Order
Order Docket No. 21-007-S Fri, 04/30/2021 Louis Olave Stipulation and Consent Order
Order Docket No. 11-026-S Tue, 05/31/2011 Michael Williams Stipulation and Consent Order
Order Docket No. 16-027-S Thu, 08/25/2016 In Re: Gregory Lambesis - Stipulation and Consent
Order BB&T -22-013-B Mon, 07/25/2022 BB&T Commercial Equipment Capital Corporation Default Judgment and Order

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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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