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 descending Name Effective Date Title
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. 19-63-I Wed, 03/04/2020 Tori Liporace Default Judgement and Order
Order Docket No. 17-030-S Wed, 11/08/2017 Bankers Life and Casualty
Order Docket No. 14-092-I Wed, 12/03/2014 In Re: Oristano Capital, LLC - 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. 20-004-I Tue, 01/14/2020 Union Mutual Fire Insurance Company Stipulation and Consent
Order Docket No. 15-024-I Thu, 07/07/2016 In Re: Interstate National Dealer - Stipulation and Consent
Order Docket No. 19-039-I Mon, 08/12/2019 Danjack Enterprises Stipulation and Consent Order
Order Docket No. 20-001-I Wed, 03/04/2020 Abdulrasheed Berte Default Judgement and Order
Order Docket No. 17-022-S Tue, 08/08/2017 In Re: People's Securities, Inc
Order Docket No. 14-089-S Mon, 12/01/2014 UBS Financial Services - Consent Order
Order Docket No. 18-051-I Mon, 05/13/2019 In Re: Michael Robert Dietzel Default Judgement and Order
Order Docket No. 13-047-S Fri, 11/15/2013 State Farm Mutual Funds - Electronic Filings
Order Docket No. 15-028-I Fri, 10/30/2015 Mark Bean Stipulation and Consent
Order Docket No. 12-050-B Thu, 12/06/2012 In Re: Border Lodge Credit Union - Amended Order
Order Docket No. 19-024-S Thu, 08/01/2019 375 North Avenue Stipulation and Consent Order
Order Docket No. 19-064-I Wed, 03/04/2020 Deborah Miner Default Judgement and Order
Order Docket No. 17-018-S Sun, 07/02/2017 In Re: Rodney Winthrop Thompson
Order Docket No. 14-024-S Tue, 05/27/2014 Jason Oleet and Middlebury Securities, LLC - Order
Order Docket No. 18-034-I Mon, 05/13/2019 In Re: Jessica Elaine Edney Default Judgement and Order
Order Docket No. 18-042-B Thu, 09/13/2018 Order Exempting Certain Loan Solicitation Companies From the Loan Solicitation Licensing Requirement Of 8 VSA Chapter 73
Order Docket No. 19-070-B Tue, 01/21/2020 Uphold HQ Stipulation and Consent
Order Docket No. 12-027-B Tue, 07/03/2012 In Re: IH Financial Licenses Inc. Stipulation and Consent
Order Docket No. 19-025-S Thu, 08/01/2019 375 North Avenue Stipulation and Consent Order (2)
Order Docket No. 19-065-I Wed, 03/04/2020 Jasmyne Franking Default Order and Judgement

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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