DFR Regulations, Orders, Bulletins and Market Conduct Exams

Typesort descending Name Effective Date Title
Order Docket No. 19-043-I Fri, 03/06/2020 Kimberley Zem Stipulation and Consent Order
Order Docket No. 16-022-S Tue, 09/06/2016 EKN Financial Services, Inc - Default Judgement and Order
Order Docket No. 14-028-B Thu, 06/12/2014 In Re: MH Pillars, Inc - Stipulation and Consent
Order Docket No. 19-045-S Wed, 10/09/2019 Clearwater Investment Trust Order, No Action
Order Docket No. 17-031-B Thu, 03/15/2018 In Re: Mercari, Inc
Order Docket No. 19-037-I Wed, 07/31/2019 Small Association Leadership Alliance, et al Ex Parte Order To Cease And Desist
Order Docket No. 20-032-I Wed, 02/24/2021 Order for Revocation of License - Rasnake
Order Docket No. 12-014-I Tue, 05/22/2012 In Re: National Council on Compensation Insurance Order Adopting Report of Examination
Order Docket No. 20-001-I Wed, 03/04/2020 Abdulrasheed Berte Default Judgement and Order
Order Docket No. 13-008-I Thu, 04/11/2013 In Re: Ullico Casualty - Order to Cease and Desist
Order Docket No. 19-069-S Fri, 03/06/2020 Account Management, DeRoetth Stipulation and Consent
Order Docket No. 16-021-S Thu, 09/01/2016 Obsidian Financial Group, LLC - Default Judgement and Order
Order Docket No. 14-004-B Thu, 04/03/2014 In Re: United Capital Business Lending, Inc - Order
Order Docket No. 19-044-I Mon, 10/07/2019 Permanent General Assurance Corporation Stipulation and Consent
Order Docket No. 17-023-B Mon, 12/18/2017 In Re: Yapstone Holdings, Inc
Order Docket No. 13-029-S Mon, 09/09/2013 In Re: Alicia Goodman Cease and Desist
Order Docket No. 20-035-I Wed, 02/24/2021 Order for Revocation of License - GCIB
Order Docket No. 12-011-I Wed, 07/18/2012 In Re: Michael Paul Ippolito Default Judgement and Order
Order Docket No. 19-064-I Wed, 03/04/2020 Deborah Miner Default Judgement and Order
Order Docket No. 19-009-I Mon, 04/01/2019 Lafayette Stipulation and Consent Order
Order Docket No. 19-068-I Wed, 03/04/2020 Rebecca Mrozinski Default Judgement and Order
Order Docket No. 16-020-S Thu, 09/01/2016 Aletheia Securities, Inc - Default Judgement and Order
Order Docket No. 14-087-I Thu, 03/05/2015 In Re: John Gutschlag - Default Judgement and Order
Order Docket No. 19-016-I Thu, 10/17/2019 Jason Torres Default Judgement and Order
Order Docket No. 17-021-B Thu, 06/29/2017 Money Transmitter Receipts Guidance and Transition Period

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

802-828-3301
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833-337-4685 (toll free)

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