Statement from Commissioner Pieciak: DFR staff continue to work remotely and will do so until further notice. The department is still conducting business, however there may be some temporary delays in DFR services. 

DFR Regulations, Orders, Bulletins and Market Conduct Exams

Typesort ascending Name Effective Date Title
Order Docket No. 17-013-B Mon, 05/08/2017 North American Securities Administrators Association
Order Docket No. 14-001-S Fri, 01/17/2014 Robert Jamo and Quasar Distributors, LLC
Order Docket No. 19-049-I Wed, 11/20/2019 Louis Chames, Trupanion Managers USA, Inc., and American Pet Insurance Company
Order Docket No. 13-001-S Fri, 03/08/2013 ProEquities Consent Order
Order Docket No. 16-026-S Sun, 06/05/2016 Raymond James and Associates - Consent Order
Order Docket No. 13-004-I Fri, 04/19/2013 In Re: Triad Guaranty Stipulation and Consent
Order Docket No. 17-001-I Thu, 02/09/2017 YourPeople, Inc
Order Docket No. 20-006-I Wed, 03/18/2020 Joany Inc Default Judgement and Order
Order Docket No. 13-058-B Thu, 12/19/2013 In Re: Ocwen Financial Corporation
Order Docket No. 19-040-I Thu, 11/21/2019 Companion Life Insurance Company Stipulation and Consent
Order Docket No. 12-022-S Mon, 02/13/2012 Ronald Berman and Axiom Capital Management Order Removing Conditions
Order Docket No. 20-007-I Tue, 04/14/2020 Kendra Aleman Default Judgement and Order
Order Docket No. 15-040-B Mon, 11/09/2015 Prospect Mortgage, LLC - Settlement Agreement and Order
Order Docket No. 13-003-I Wed, 05/01/2013 In Re: Connecticut General Life Insurance Stipulation and Consent
Order Docket No. 17-016-I Tue, 08/01/2017 In Re: Liberty Mutual
Order Docket No. 13-038-B Thu, 05/22/2014 Plaza Home Mortgage
Order Docket No. 12-003-S Thu, 01/19/2012 Barry Cassese and KC Ward Financial
Order Docket No. 20-016-S Wed, 03/18/2020 Fairholme Stipulation and Consent Order
Order Docket No. 15-033-B Fri, 11/06/2015 Ocwen Loan Servicing, LLC - Consent Agreement
Order Docket No. 13-002-I Wed, 03/13/2013 In Re: Vermont Health Benefit Exchange - Rate Structure and Multipliers
Order Docket No. 17-010-I Thu, 05/18/2017 USAA
Order Docket No. 13-033-B Fri, 01/10/2014 Lisa Fendelet - Order
Order Docket No. 19-046-I Tue, 11/26/2019 John Hancock Life Insurance Company Stipulation and Consent
Order Docket No. 11-026-S Tue, 05/31/2011 Michael Williams Stipulation and Consent Order
Order Docket No. 15-021-B Tue, 07/07/2015 Sherman, Clay and Co - Stipulation and Consent

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)

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

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