DFR Regulations, Orders, Bulletins and Market Conduct Exams

Typesort ascending Name Effective Date Title
Order Docket No. 12-005-I Fri, 04/20/2012 In Re: Roy Allen Gray Default Judgement and Order
Order Docket No. 17-023-B Mon, 12/18/2017 In Re: Yapstone Holdings, Inc
Order Docket No. 19-059-B Thu, 03/05/2020 North American Financial Management Stipulation and Consent
Order Docket No. 19-014-I Mon, 04/15/2019 CMFG Stipulation and Consent Order
Order Docket No. 17-018-S Mon, 01/06/2020 Winthrop Investment Management Order
Order RESCINDED - Docket No. 16-019-S Thu, 04/04/2019 First Financial Equity Corporation Order and Consent (Rescinded)
Order Docket No. 14-026-I Mon, 09/15/2014 In Re: Deborah Lefaivre - Consent Order
Order Docket No. 22-006-I Tue, 05/31/2022 Michael Smith Default Judgement and Order
Order Docket No. 10-030-S Wed, 04/28/2010 Wells Fargo Investments Consent Order
Order Docket No. 16-020-S Thu, 09/01/2016 Aletheia Securities, Inc - Default Judgement and Order
Order Docket No. 12-002-I Thu, 06/04/2015 In Re: National Motor Club Order to Cease and Desist
Order Docket No. 17-021-B Thu, 06/29/2017 Money Transmitter Receipts Guidance and Transition Period
Order Docket No. 19-010-I Fri, 04/12/2019 In Re: Todd Brandon Stipulation and Consent
Order Docket No. 19-055-S Fri, 12/20/2019 Maryland Cultivation and Processing Stipulation and Consent
Order Docket No. 14-015-I Thu, 01/22/2015 In Re: Jeffrey Faber - Order
Order Docket No. 19-045-S Sat, 10/09/2021 Clearwater Investment Trust Amendment Order
Order Docket No. 21-022-I Tue, 06/14/2022 Premier Health Solutions Stipulation and Consent
Order Docket No. 10-029-S Mon, 04/19/2010 UBS Securities Consent Order
Order Docket No. 16-011-S, 16-012-S Tue, 09/13/2016 In Re: Alan Dauphin - Stipulation and Consent
Order Docket No. 20-029-S Wed, 10/14/2020 William J. Therieau Cease and Desist
Order Docket No. 13-046-S Mon, 02/24/2014 In Re: George Jones Lincoln
Order Docket No. 17-017-B Thu, 06/15/2017 State Regulatory Registry LLC and NMLS
Order Docket No. 18-045-I Tue, 04/16/2019 In Re: David Wayne Judge Default Judgement and Order
Order Docket No. 14-092-I Wed, 12/03/2014 In Re: Oristano Capital, LLC - Stipulation and Consent
Order Docket No. 21-037-B Wed, 10/20/2021 Fairway Independent Mortgage Corporation Stipulation and Consent Order

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

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833-337-4685 (toll free)

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