DFR Regulations, Orders, Bulletins and Market Conduct Exams

Typesort descending Name Effective Date Title
Order Docket No. 21-041-I Tue, 01/11/2022 Jeffrey Brown Default Judgment and Order
Order Docket No. 20-007-I Tue, 04/14/2020 Kendra Aleman Default Judgement and Order
Order Docket No. 17-031-B Thu, 03/15/2018 In Re: Mercari, Inc
Order Docket No. 17-023-B Mon, 12/18/2017 In Re: Yapstone Holdings, Inc
Order Docket No. 03-038-I Wed, 12/01/2004 John Hancock Life Insurance Company Consent Order
Order Docket No. 21-033-I Fri, 11/05/2021 Kristina Chamis Default Judgement and Order
Order Docket No. 13-003-I Wed, 05/01/2013 In Re: Connecticut General Life Insurance Stipulation and Consent
Order IAIC Final Stipulation Order Fri, 08/05/2022 IAIC Final Stipulation Order
Order Docket No. 11-008-S Fri, 03/04/2011 Robert Cully and Winslow, Evans & Crocker
Order Docket No. 13-038-B Thu, 05/22/2014 Plaza Home Mortgage
Order Docket No. 16-021-S Thu, 09/01/2016 Obsidian Financial Group, LLC - Default Judgement and Order
Order Docket No. 21-044-I Tue, 01/11/2022 Default Judgment and Order Arvizu
Order Docket No. 20-016-S Wed, 03/18/2020 Fairholme Stipulation and Consent Order
Order Docket No. 17-021-B Thu, 06/29/2017 Money Transmitter Receipts Guidance and Transition Period
Order Docket No. 21-039-I Mon, 11/22/2021 Ronald Sims Default Order and Judgement
Order Docket No. 13-002-I Wed, 03/13/2013 In Re: Vermont Health Benefit Exchange - Rate Structure and Multipliers
Order BB&T -22-013-B Mon, 07/25/2022 BB&T Commercial Equipment Capital Corporation Default Judgment and Order
Order Docket No. 11-007-S Sun, 02/13/2011 Henry Corrao and EKN Financial Services
Order Docket No. 20-033-B Fri, 11/13/2020 Bitstamp LTD Stipulation and Consent Order
Order Docket No. 13-033-B Fri, 01/10/2014 Lisa Fendelet - Order
Order Docket No. 16-020-S Thu, 09/01/2016 Aletheia Securities, Inc - Default Judgement and Order
Order Docket No. 21-042-I Tue, 01/11/2022 Nguyen Default Judgment And Order
Order Docket No. 17-017-B Thu, 06/15/2017 State Regulatory Registry LLC and NMLS
Order Docket No. 19-051-I Mon, 12/16/2019 Anthony John Panza Stipulation and Consent
Order Docket No. 21-031-I Mon, 11/22/2021 Kimberly Trevino 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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