DFR Regulations, Orders, Bulletins and Market Conduct Exams

Typesort descending Name Effective Date Title
Order Docket No. 15-033-B Fri, 11/06/2015 Ocwen Loan Servicing, LLC - Consent Agreement
Order Docket No. 21-048-S Wed, 09/14/2022 Polak Stipulation and Consent Order
Order Docket No. 17-016-I Tue, 08/01/2017 In Re: Liberty Mutual
Order Docket No. 21-036-I Fri, 11/05/2021 Marco Antonio Vasquez Default Judgment and Order
Order Docket No. 13-040-I Wed, 11/06/2013 In Re: Lorraine Locke - Stipulation and Consent
Order Docket No. 21-021-B Tue, 03/30/2021 ZenPayroll Stipuation and Consent Order
Order Docket No. 17-018-S Mon, 01/06/2020 Winthrop Investment Management Order
Order Docket No. 19-003-S Fri, 03/08/2019 In RE: Flipside Cryto, Active Eight LLC
Order Docket No. 10-030-S Wed, 04/28/2010 Wells Fargo Investments Consent Order
Order Docket No. 15-021-B Tue, 07/07/2015 Sherman, Clay and Co - Stipulation and Consent
Order Docket No. 21-049-S Tue, 09/13/2022 Avantax Stipulation and Consent Order
Order Docket No. 18-020-S Fri, 05/03/2019 Harris, Weigand, and Global Mining Default Judgement and Order
Order Docket No. 17-010-I Thu, 05/18/2017 USAA
Order Docket No. 21-030-I Fri, 11/05/2021 William Gillus Default Judgment and Order
Order Docket No. 13-031-I Tue, 10/22/2013 Dairyland Insurance - Stipulation and Consent
Order Docket No. 21-014-I Mon, 04/05/2021 MetLife Stipulation and Consent Order
Order RESCINDED - Docket No. 16-019-S Thu, 04/04/2019 First Financial Equity Corporation Order and Consent (Rescinded)
Order Docket No. 19-004-S Thu, 03/14/2019 In RE: Flipside Cryto, Managed 9 LLC
Order Docket No. 20-026-S (Amendment) Wed, 06/10/2020 Patrick Mazza Amendment to Ex Parte Order to Cease and Desist
Order Docket No. 10-029-S Mon, 04/19/2010 UBS Securities Consent Order
Order Docket No. 15-007-B Fri, 05/15/2015 MSA Mortgage, LLC - Settlement Agreement
Order Docket No. 12-025-I Tue, 08/28/2012 In Re: Maria Gonzales Stipulation and Consent Order
Order Docket No. 17-009-I Sun, 07/02/2017 In Re: InsuranceTek
Order Docket No. 21-025-S Mon, 02/14/2022 BlockFi Consent Order
Order Docket No. 13-030-I Wed, 03/05/2014 In Re: Alicia Goodman - Order

Pages

Contact Information

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

802-828-3301
833-DFR-HOTLINE (toll free)
833-337-4685 (toll free)

Public Information
For public records, media inquiries, and press releases visit our Public Information web page

Twitter icon
Facebook icon
LinkedIn icon

Employee Information