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DFR Regulations, Orders, Bulletins and Market Conduct Exams

Regulation Bulletins
Type Sort descending Name Effective Date Title
Order Docket No. 20-041-I Thu, 03/18/2021 Wurtz Stipulation and Consent Order
Order Docket No. 20-029-S Tue, 03/16/2021 Therieau Financial Services Final Order
Order Docket No. 20-038-B Sat, 02/27/2021 Wave Financial Stipulation and Consent
Order Docket No. 20-031-I Wed, 02/24/2021 Order for Revocation of License - Jones
Order Docket No. 20-035-I Wed, 02/24/2021 Order for Revocation of License - GCIB
Order Docket No. 20-032-I Wed, 02/24/2021 Order for Revocation of License - Rasnake
Order Docket No. 20-036-I Wed, 02/24/2021 Order for Revocation of License - Thandi
Order Docket No. 20-037-I Wed, 01/27/2021 Northwestern Mutual Life Insurance Company Stipulation and Consent
Order Docket No. 20-029-S (Amendment) Fri, 12/11/2020 Therieau Amendment to Ex Parte Order to Cease and Desist
Order Docket No. 20-034-S Fri, 11/20/2020 Krista Scruggs and Zafa Wines Ex Parte Cease and Desist
Order Docket No. 20-030-I Tue, 11/03/2020 Benjamin Scherer Ex Parte Order Suspending License
Order Docket No. 20-033-B Fri, 11/13/2020 Bitstamp LTD Stipulation and Consent Order
Order Docket No. 21-042-I Tue, 01/11/2022 Nguyen Default Judgment And Order
Order Docket No. 22-003-B Fri, 03/18/2022 Tally Technologies, Inc. Stipulation and Consent Order
Order Docket No. 22-007-B Wed, 03/16/2022 Bank of Burlington - Order Granting Permission to Organize as an Investor-Owned Universal Financial Institution
Order Docket No. 21-051-S Wed, 03/16/2022 Robinhood Financial Stipulation and Consent Order
Order Docket No. 14-023-S Mon, 07/21/2014 Vermont Solar / Utility No-Action "SUN" Exemption
Order Docket No. 21-0-005-I Sun, 03/06/2022 SHIP Ex Parte Order to Cease and Desist
Order Docket No. 21-025-S Mon, 02/14/2022 BlockFi Consent Order
Order Docket No. 21-030-I Fri, 11/05/2021 William Gillus Default Judgment and Order
Order Docket No. 21-036-I Fri, 11/05/2021 Marco Antonio Vasquez Default Judgment and Order
Order Docket No. 21-035-I Fri, 11/05/2021 Paul Haan Default Judgment and Order
Order Docket No. 21-034-I Fri, 11/05/2021 Benjamin Feick Default Judgment and Order
Order Docket No. 16-038-S Tue, 04/26/2016 LPL Financial Consent Order
Order Docket No. 21-045-I Tue, 01/11/2022 Mclester-Heim Default Judgment and Order