DFR Regulations, Orders, Bulletins and Market Conduct Exams

Typesort descending Name Effective Date Title
Order Docket No. 12-049-I Fri, 01/18/2013 In Re: Joan Louise Warner Default Judgement and Order
Order Docket No. 19-065-I Wed, 03/04/2020 Jasmyne Franking Default Order and Judgement
Order Docket No. 13-021-B Sun, 07/21/2013 Securities Finance Trust Company - Order
Order Docket No. 17-014-B Mon, 07/03/2017 In Re: DOXO, Inc
Order Docket No. 19-029-I and 19-029-S Fri, 12/20/2019 Jack Trainham and Retirement And College Financial Services of Vermont Stipulation and Consent
Order Docket No. 20-029-S Tue, 03/16/2021 Therieau Financial Services Final Order
Order Docket No. 10-032-S Tue, 04/27/2010 Goldman Sachs Consent Order
Order Docket No. 12-048-I Fri, 01/18/2013 In Re: Crystal F Welle Default Judgement and Order
Order Docket No. 19-067-I Wed, 03/04/2020 Serena Morris Default Judgement and Order
Order Docket No. 13-020-B Mon, 09/16/2013 Brandon Maddick - Order
Order Docket No. 16-025-S Thu, 06/09/2016 Wells Fargo Advisors LLC
Order Docket No. 17-013-B Mon, 05/08/2017 North American Securities Administrators Association
Order Docket No. 17-018-S Mon, 01/06/2020 Winthrop Investment Management Order
Order Docket No. 20-041-I Thu, 03/18/2021 Wurtz Stipulation and Consent Order
Order Docket No. 10-031-S Mon, 04/05/2010 Stifel, Nicolaus and Co Consent Order
Order Docket No. 12-047-I Fri, 01/18/2013 In Re: Dylan A Molina Default Judgement and Order
Order Docket No. 13-018-B Mon, 09/16/2013 Zachary Tierney - Order
Order Docket No. 16-026-S Sun, 06/05/2016 Raymond James and Associates - Consent Order
Order Docket No. 17-001-I Thu, 02/09/2017 YourPeople, Inc
Order RESCINDED - Docket No. 16-019-S Thu, 04/04/2019 First Financial Equity Corporation Order and Consent (Rescinded)
Order Docket No. 20-039-I Tue, 03/23/2021 Joel Pitt Default Judgement and Order
Order Docket No. 10-030-S Wed, 04/28/2010 Wells Fargo Investments Consent Order
Order Docket No. 12-045-I Wed, 01/02/2013 In Re: Michael Phillip O'Keefe Default Judgement and Order
Order Docket No. 20-019-I Thu, 05/28/2020 Homesite Insurance Company Stipulation and Consent
Order Docket No. 13-017-B Sat, 09/14/2013 David Rome - 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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