DFR Regulations, Orders, Bulletins and Market Conduct Exams

Typesort ascending Name Effective Date Title
Order Docket No. 12-052-I Tue, 01/22/2013 In Re: Jeffrey Douglas Penta Default Judgement and Order
Order Docket No. 20-039-I Tue, 03/23/2021 Joel Pitt Default Judgement and Order
Order Docket No. 13-021-B Sun, 07/21/2013 Securities Finance Trust Company - Order
Order Docket No. 20-015-I Tue, 06/09/2020 Teon Sumpter Default Judgement and Order
Order Docket No. 16-021-S Thu, 09/01/2016 Obsidian Financial Group, LLC - Default Judgement and Order
Order Docket No. 17-023-B Mon, 12/18/2017 In Re: Yapstone Holdings, Inc
Order Docket No. 19-051-I Mon, 12/16/2019 Anthony John Panza Stipulation and Consent
Order Docket No. 10-080-S Thu, 09/23/2010 Electronic Notice Filing of Certain Federal Covered Securities with Vermont
Order Docket No. 12-049-I Fri, 01/18/2013 In Re: Joan Louise Warner Default Judgement and Order
Order Docket No. 21-021-B Tue, 03/30/2021 ZenPayroll Stipuation and Consent Order
Order Docket No. 13-020-B Mon, 09/16/2013 Brandon Maddick - Order
Order Docket No. 16-020-S Thu, 09/01/2016 Aletheia Securities, Inc - Default Judgement and Order
Order Docket No. 17-021-B Thu, 06/29/2017 Money Transmitter Receipts Guidance and Transition Period
Order Docket No. 16-042-I Fri, 12/09/2016 MVP Health Plan Stipulation and Consent
Order Docket No. 10-052-S Wed, 06/09/2010 Buglisi and Rockwell Global Capital Consent Order
Order Docket No. 12-048-I Fri, 01/18/2013 In Re: Crystal F Welle Default Judgement and Order
Order Docket No. 21-014-I Mon, 04/05/2021 MetLife Stipulation and Consent Order
Order Docket No. 13-018-B Mon, 09/16/2013 Zachary Tierney - Order
Order Docket No. 20-026-S (Amendment) Wed, 06/10/2020 Patrick Mazza Amendment to Ex Parte Order to Cease and Desist
Order Docket No. 16-011-S, 16-012-S Tue, 09/13/2016 In Re: Alan Dauphin - Stipulation and Consent
Order Docket No. 17-017-B Thu, 06/15/2017 State Regulatory Registry LLC and NMLS
Order Docket No. 19-050-I Thu, 12/19/2019 Lorie Jean Zylicz Default Judgement and Order
Order Docket No. 10-038-S Wed, 05/05/2010 Van Hamm and Meyers Associates Consent Order
Order Docket No. 12-047-I Fri, 01/18/2013 In Re: Dylan A Molina Default Judgement and Order
Order Docket No. 21-015-I Fri, 04/09/2021 Patriot Insurance Company Stipulation and Consent Order

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)

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