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

Type Namesort descending Effective Date Title
Bulletin Banking Bulletin #49 Fri, 06/21/2019 Automated Teller Machine Disclosures
Bulletin Captive Bulletin C-2014-01 Thu, 01/09/2014 Guidance for Special Purpose Financial Insurers
Bulletin Captive Bulletin C-2015-01 Mon, 06/15/2015 Maintaining Regulatory Minimum Capital and Surplus Requirements
Bulletin DFR Bulletin #3 (Withdrawn) Fri, 06/05/2020 WITHDRAWN - Security Breach Notice Act
Bulletin DFR Bulletin #4 Fri, 06/05/2020 Security Breach Notice Act Bulletin
Order Docket No. 19-034-S Fri, 08/23/2019 IN RE: Escondido Village 388 DE Stipulation and Consent Order
Order Docket No. 03-038-I Wed, 12/01/2004 John Hancock Life Insurance Company Consent Order
Order Docket No. 06-043-S Fri, 07/07/2006 Applying Provisions of Certain Regulations, Bulletins, Policy Statements, and Orders to the Vermont Securities Act
Order Docket No. 10-002-S Fri, 01/08/2010 Lincoln Financial Securities Consent Order
Order Docket No. 10-028-S Thu, 03/04/2010 Lisa Graves Consent Order
Order Docket No. 10-029-S Mon, 04/19/2010 UBS Securities Consent Order
Order Docket No. 10-030-S Wed, 04/28/2010 Wells Fargo Investments Consent Order
Order Docket No. 10-031-S Mon, 04/05/2010 Stifel, Nicolaus and Co Consent Order
Order Docket No. 10-032-S Tue, 04/27/2010 Goldman Sachs Consent Order
Order Docket No. 10-038-S Wed, 05/05/2010 Van Hamm and Meyers Associates Consent Order
Order Docket No. 10-052-S Wed, 06/09/2010 Buglisi and Rockwell Global Capital Consent Order
Order Docket No. 10-080-S Thu, 09/23/2010 Electronic Notice Filing of Certain Federal Covered Securities with Vermont
Order Docket No. 11-007-S Sun, 02/13/2011 Henry Corrao and EKN Financial Services
Order Docket No. 11-008-S Fri, 03/04/2011 Robert Cully and Winslow, Evans & Crocker
Order Docket No. 11-026-S Tue, 05/31/2011 Michael Williams Stipulation and Consent Order
Order Docket No. 12-002-I Thu, 06/04/2015 In Re: National Motor Club Order to Cease and Desist
Order Docket No. 12-003-S Thu, 01/19/2012 Barry Cassese and KC Ward Financial
Order Docket No. 12-005-I Fri, 04/20/2012 In Re: Roy Allen Gray Default Judgement and Order
Order Docket No. 12-006-I Fri, 04/20/2012 In Re: Kevin Whitney
Order Docket No. 12-007-I Fri, 04/20/2012 In Re: Roland Matatics Default Judgement and 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

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