DFR Regulations, Orders, Bulletins and Market Conduct Exams

Typesort ascending Name Effective Date Title
Order Docket No. 21-015-I Fri, 04/09/2021 Patriot Insurance Company Stipulation and Consent Order
Order Docket No. 18-013-I Mon, 02/26/2018 Wocell Stipulation and Consent
Order Docket No. 19-036-S Wed, 10/02/2019 TrustToken, Inc. Stipulation and Consent Order
Order Docket No. 14-015-I Thu, 01/22/2015 In Re: Jeffrey Faber - 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. 19-017-S Fri, 07/26/2019 Pantera Digital Asset Fund LP Stipulation and Consent Order
Order Docket No. 18-048-I Mon, 01/14/2019 In Re: State Farm Fire & Casualty Co and State Farm Mutual Auto Insurance Co
Order Docket No. 13-049-S Mon, 09/28/2015 In Re: Tucker Financial Services Stipulation and Consent Order
Order Docket No. 16-013-B Thu, 06/30/2016 In Re: PMAC Lending Services, Inc
Order Docket No. 19-043-I Fri, 03/06/2020 Kimberley Zem Stipulation and Consent Order
Order Docket No. 18-046-I Tue, 04/16/2019 In Re: Deandre Maze-Carter Default Judgement and Order
Order Docket No. 21-013-I Thu, 04/08/2021 Transamerica Stipulation and Consent Order
Order Docket No. 18-013-I Wed, 12/05/2018 Order For Revocation of Christopher Wocell’s Resident Producer And Surplus Lines Licenses
Order Docket No. 19-045-S Wed, 10/09/2019 Clearwater Investment Trust Order, No Action
Order Docket No. 14-092-I Wed, 12/03/2014 In Re: Oristano Capital, LLC - Stipulation and Consent
Order Docket No. 20-026-S Mon, 06/08/2020 Patrick Mazza Ex Parte Order to Cease and Desist
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. 13-047-S Fri, 11/15/2013 State Farm Mutual Funds - Electronic Filings
Order Docket No. 16-010-B Mon, 05/23/2016 Prosper Marketplace Inc
Order Docket No. 19-069-S Fri, 03/06/2020 Account Management, DeRoetth Stipulation and Consent
Order Docket No. 18-013-I Fri, 08/31/2018 Ex Parte Order for Summary Suspension Of Christopher Wocell’s Resident Producer and Surplus Lines Licenses
Order Docket No. 19-044-I Mon, 10/07/2019 Permanent General Assurance Corporation Stipulation and Consent
Order Docket No. 14-089-S Mon, 12/01/2014 UBS Financial Services - Consent Order
Order Docket No. 18-037-I Fri, 11/30/2018 Nikolaos Para Default Judgement and Order
Order Docket No. 13-029-S Mon, 09/09/2013 In Re: Alicia Goodman Cease and Desist

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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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