DFR Regulations, Orders, Bulletins and Market Conduct Exams

Type Namesort ascending Effective Date Title
Order Docket No. 15-004-B Wed, 03/11/2015 PYC Inc - Settlement Agreement
Order Docket No. 14-092-I Wed, 12/03/2014 In Re: Oristano Capital, LLC - Stipulation and Consent
Order Docket No. 14-089-S Mon, 12/01/2014 UBS Financial Services - Consent Order
Order Docket No. 14-088-B Mon, 12/22/2014 Debra Kinney - Order
Order Docket No. 14-087-I Thu, 03/05/2015 In Re: John Gutschlag - Default Judgement and Order
Order Docket No. 14-040-I Fri, 08/15/2014 In Re: Steve Stokeling - Default Judgement and Order
Order Docket No. 14-039-I Wed, 09/10/2014 In Re: Jillian Wood - Stipulation and Consent
Order Docket No. 14-036-I Thu, 03/19/2015 In Re: Christopher Corley - Stipulation and Consent
Order Docket No. 14-028-B Thu, 06/12/2014 In Re: MH Pillars, Inc - Stipulation and Consent
Order Docket No. 14-026-I Mon, 09/15/2014 In Re: Deborah Lefaivre - Consent Order
Order Docket No. 14-024-S Tue, 05/27/2014 Jason Oleet and Middlebury Securities, LLC - Order
Order Docket No. 14-022-S Mon, 04/07/2014 Registration Exemption for SolarCommunities, Inc - Order
Order Docket No. 14-015-I Thu, 01/22/2015 In Re: Jeffrey Faber - Order
Order Docket No. 14-004-B Thu, 04/03/2014 In Re: United Capital Business Lending, Inc - Order
Order Docket No. 14-002-S Mon, 01/06/2014 Thomas Donnelly and Quasar Distributors, LLC
Order Docket No. 14-001-S Fri, 01/17/2014 Robert Jamo and Quasar Distributors, LLC
Order Docket No. 13-058-B Thu, 12/19/2013 In Re: Ocwen Financial Corporation
Order Docket No. 13-055-I Mon, 12/16/2013 In Re: John Bendel - Stipulation and Consent
Order Docket No. 13-053-I Mon, 12/16/2013 In Re: Dorothy Toro-Clafin - 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. 13-048-I Tue, 11/05/2013 In Re: Jessica Myers - Stipulation and Consent
Order Docket No. 13-047-S Fri, 11/15/2013 State Farm Mutual Funds - Electronic Filings
Order Docket No. 13-046-S Mon, 02/24/2014 In Re: George Jones Lincoln
Order Docket No. 13-043-I Sun, 11/03/2013 In Re: Vermont Health Connect - Order
Order Docket No. 13-041-I Mon, 11/18/2013 In Re: Travis Shine - Stipulation and Consent

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

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833-337-4685 (toll free)

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