State of Vermont
DFR Regulations, Orders, Bulletins and Market Conduct Exams
| Type |
Name |
Effective Date | Title |
|---|---|---|---|
| Order | Docket No. 16-025-S | Thu, 06/09/2016 | Wells Fargo Advisors LLC |
| Order | Docket No. 16-026-S | Sun, 06/05/2016 | Raymond James and Associates - Consent Order |
| Order | Docket No. 16-027-S | Thu, 08/25/2016 | In Re: Gregory Lambesis - Stipulation and Consent |
| Order | Docket No. 16-029-I | Wed, 09/07/2016 | In Re: Brendan Mayworm Stipulation and Consent |
| Order | Docket No. 16-035-I | Wed, 11/09/2016 | In Re: Brittany Ouellette, Default Judgement and Order |
| Order | Docket No. 16-036-I | Mon, 06/26/2017 | In Re: Deborah LeFaivre - Default Judgement and Order |
| Order | Docket No. 16-036-I | Tue, 09/13/2016 | In Re: Deborah LeFaivre - Exparte Order for Summary Suspension |
| Order | Docket No. 16-038-S | Tue, 04/26/2016 | LPL Financial Consent Order |
| Order | Docket No. 16-041-I | Wed, 04/12/2017 | Geico |
| Order | Docket No. 16-042-I | Fri, 12/09/2016 | MVP Health Plan Stipulation and Consent |
| Order | Docket No. 17-001-I | Thu, 02/09/2017 | YourPeople, Inc |
| Order | Docket No. 17-008-S | Tue, 04/04/2017 | Fishkin and Crow Hill Capital |
| Order | Docket No. 17-009-I | Sun, 07/02/2017 | In Re: InsuranceTek |
| Order | Docket No. 17-010-I | Thu, 05/18/2017 | USAA |
| Order | Docket No. 17-013-B | Mon, 05/08/2017 | North American Securities Administrators Association |
| Order | Docket No. 17-014-B | Mon, 07/03/2017 | In Re: DOXO, Inc |
| Order | Docket No. 17-015-B | Sun, 05/07/2017 | Glenview Auto Loan ExParte Order to Cease and Desist |
| Order | Docket No. 17-015-B | Thu, 06/15/2017 | Glenview Auto Loan Amended Order to Cease and Desist |
| Order | Docket No. 17-016-I | Tue, 08/01/2017 | In Re: Liberty Mutual |
| Order | Docket No. 17-017-B | Thu, 06/15/2017 | State Regulatory Registry LLC and NMLS |
| Order | Docket No. 17-018-S | Sun, 07/02/2017 | In Re: Rodney Winthrop Thompson |
| Order | Docket No. 17-018-S | Mon, 01/06/2020 | Winthrop Investment Management Order |
| Order | Docket No. 17-021-B | Thu, 06/29/2017 | Money Transmitter Receipts Guidance and Transition Period |
| Order | Docket No. 17-022-S | Tue, 08/08/2017 | In Re: People's Securities, Inc |
| Order | Docket No. 17-023-B | Mon, 12/18/2017 | In Re: Yapstone Holdings, Inc |
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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