DFR Regulations, Orders, Bulletins and Market Conduct Exams

Type Namesort descending Effective Date Title
Order Docket No. 13-008-I Thu, 04/11/2013 In Re: Ullico Casualty - Order to Cease and Desist
Order Docket No. 13-010-B Mon, 05/13/2013 Shelter Mortgage Company - Stipulation and Consent
Order Docket No. 13-011-I Wed, 12/17/2014 In Re: Prest and Associates - Stipulation and Consent
Order Docket No. 13-017-B Sat, 09/14/2013 David Rome - Order
Order Docket No. 13-018-B Mon, 09/16/2013 Zachary Tierney - Order
Order Docket No. 13-020-B Mon, 09/16/2013 Brandon Maddick - Order
Order Docket No. 13-021-B Sun, 07/21/2013 Securities Finance Trust Company - Order
Order Docket No. 13-022-S Thu, 10/10/2013 In Re: Surety Services Stipulation and Consent Order
Order Docket No. 13-024-B Sat, 08/31/2013 Amerisave Mortgage - Settlement Agreement and Order
Order Docket No. 13-025-S Fri, 09/13/2013 UBS Financial Services - Consent Order
Order Docket No. 13-026-B Mon, 09/09/2013 In Re: NetSpeed Corporation
Order Docket No. 13-029-S Mon, 09/09/2013 In Re: Alicia Goodman Cease and Desist
Order Docket No. 13-030-I Wed, 03/05/2014 In Re: Alicia Goodman - Order
Order Docket No. 13-031-I Tue, 10/22/2013 Dairyland Insurance - Stipulation and Consent
Order Docket No. 13-033-B Fri, 01/10/2014 Lisa Fendelet - Order
Order Docket No. 13-038-B Thu, 05/22/2014 Plaza Home Mortgage
Order Docket No. 13-040-I Wed, 11/06/2013 In Re: Lorraine Locke - Stipulation and Consent
Order Docket No. 13-041-I Mon, 11/18/2013 In Re: Travis Shine - Stipulation and Consent
Order Docket No. 13-043-I Sun, 11/03/2013 In Re: Vermont Health Connect - Order
Order Docket No. 13-046-S Mon, 02/24/2014 In Re: George Jones Lincoln
Order Docket No. 13-047-S Fri, 11/15/2013 State Farm Mutual Funds - Electronic Filings
Order Docket No. 13-048-I Tue, 11/05/2013 In Re: Jessica Myers - Stipulation and Consent
Order Docket No. 13-049-S Mon, 09/28/2015 In Re: Tucker Financial Services Stipulation and Consent Order
Order Docket No. 13-053-I Mon, 12/16/2013 In Re: Dorothy Toro-Clafin - Stipulation and Consent
Order Docket No. 13-055-I Mon, 12/16/2013 In Re: John Bendel - Stipulation and Consent

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Contact Information

Department of Financial Regulation
Commissioner Michael Pieciak
89 Main Street, Montpelier, VT 05620 - 3101
802-828-3301
833-DFR-HOTLINE

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

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