DFR Regulations, Orders, Bulletins and Market Conduct Exams

Typesort ascending Name Effective Date Title
Order Docket No. 13-017-B Sat, 09/14/2013 David Rome - Order
Order Docket No. 20-026-S Mon, 06/08/2020 Patrick Mazza Ex Parte Order to Cease and Desist
Order Docket No. 16-001-S Wed, 06/01/2016 Repealing In Part Order 06-023-S
Order Docket No. 17-015-B Sun, 05/07/2017 Glenview Auto Loan ExParte Order to Cease and Desist
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. 10-032-S Tue, 04/27/2010 Goldman Sachs 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. 21-013-I Thu, 04/08/2021 Transamerica Stipulation and Consent Order
Order Docket No. 13-010-B Mon, 05/13/2013 Shelter Mortgage Company - Stipulation and Consent
Order Docket No. 18-037-I Fri, 11/30/2018 Nikolaos Para Default Judgement and Order
Order Docket No. 15-022-I Wed, 03/09/2016 In Re: Travelers - Stipulation and Consent
Order Docket No. 17-015-B Thu, 06/15/2017 Glenview Auto Loan Amended Order to Cease and Desist
Order Docket No. 17-018-S Mon, 01/06/2020 Winthrop Investment Management Order
Order Docket No. 10-031-S Mon, 04/05/2010 Stifel, Nicolaus and Co Consent Order
Order Docket No. 12-044-I Fri, 01/18/2013 In Re: Tasheanna Barnes Default Judgement and Order
Order Docket No. 13-055-I Mon, 12/16/2013 In Re: John Bendel - Stipulation and Consent
Order Docket No. 20-024-S Wed, 06/10/2020 Neurotherapeutics, Embera Stipulation and Consent
Order Docket No. 16-025-S Thu, 06/09/2016 Wells Fargo Advisors LLC
Order Docket No. 15-020-I Wed, 07/15/2015 In Re: Geico - Stipulation and Consent
Order Docket No. 17-014-B Mon, 07/03/2017 In Re: DOXO, Inc
Order RESCINDED - Docket No. 16-019-S Thu, 04/04/2019 First Financial Equity Corporation Order and Consent (Rescinded)
Order Docket No. 10-030-S Wed, 04/28/2010 Wells Fargo Investments Consent Order
Order Docket No. 12-043-I Mon, 01/07/2013 In Re: Mark Patrick Santos Default Judgement and Order
Order Docket No. 21-007-S Fri, 04/30/2021 Louis Olave Stipulation and Consent Order
Order Docket No. 13-053-I Mon, 12/16/2013 In Re: Dorothy Toro-Clafin - Stipulation and Consent

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

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833-337-4685 (toll free)

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