DFR Regulations, Orders, Bulletins and Market Conduct Exams

Typesort descending Name Effective Date Title
Order Docket No. 13-033-B Fri, 01/10/2014 Lisa Fendelet - Order
Order Docket No. 13-025-S Fri, 09/13/2013 UBS Financial Services - Consent Order
Order Docket No. 22-019-I Fri, 06/24/2022 Audio-Only Telephone Services Order
Order Docket No. 16-036-I Tue, 09/13/2016 In Re: Deborah LeFaivre - Exparte Order for Summary Suspension
Order Docket No. 21-041-I Tue, 01/11/2022 Jeffrey Brown Default Judgment and Order
Order Docket No. 19-068-I Wed, 03/04/2020 Rebecca Mrozinski Default Judgement and Order
Order Docket No. 20-024-S Wed, 06/10/2020 Neurotherapeutics, Embera Stipulation and Consent
Order Docket No. 13-002-I Wed, 03/13/2013 In Re: Vermont Health Benefit Exchange - Rate Structure and Multipliers
Order Docket No. 18-004-I Mon, 04/02/2018 In Re: Mario A. Rodas
Order Docket No. 18-054-I Tue, 10/15/2019 Matthew F Gains Default Judgement and Order
Order Docket No. 13-026-B Mon, 09/09/2013 In Re: NetSpeed Corporation
Order Docket No. 13-022-S Thu, 10/10/2013 In Re: Surety Services Stipulation and Consent Order
Order IAIC Final Stipulation Order Fri, 08/05/2022 IAIC Final Stipulation Order
Order Docket No. 21-007-S Fri, 04/30/2021 Louis Olave Stipulation and Consent Order
Order Docket No. 16-035-I Wed, 11/09/2016 In Re: Brittany Ouellette, Default Judgement and Order
Order Docket No. 21-044-I Tue, 01/11/2022 Default Judgment and Order Arvizu
Order Docket No. 19-062-I Wed, 03/04/2020 Jessica Hendrickson Default Judgement and Order
Order Docket No. 20-023-S Tue, 06/16/2020 Overland Storage Stipulation and Consent
Order Docket No. 12-056-I Mon, 01/30/2012 In Re: William A Newburn Default Judgement and Order
Order Docket No. 18-049-S Tue, 11/27/2018 Stock Investment Management Inc.
Order Docket No. 19-052-S Thu, 10/31/2019 Essex Securities LLC Stipulation and Consent Order
Order Docket No. 13-024-B Sat, 08/31/2013 Amerisave Mortgage - Settlement Agreement and Order
Order Docket No. 13-001-S Fri, 02/08/2013 UVEST Financial Services Group Consent Order
Order BB&T -22-013-B Mon, 07/25/2022 BB&T Commercial Equipment Capital Corporation Default Judgment and Order
Order Docket No. 21-005-I Tue, 05/11/2021 Michael Rossette Default Judgement and Order

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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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