DFR Regulations, Orders, Bulletins and Market Conduct Exams

Typesort ascending Name Effective Date Title
Order Docket No. 19-055-S Fri, 12/20/2019 Maryland Cultivation and Processing Stipulation and Consent
Order Docket No. 16-017-I Mon, 06/27/2016 In Re: Ryan Moore - Stipulation and Consent
Order Docket No. 14-015-I Thu, 01/22/2015 In Re: Jeffrey Faber - Order
Order Docket No. 10-029-S Mon, 04/19/2010 UBS Securities Consent Order
Order Docket No. 18-030-S Fri, 05/25/2018 Cease and Desist Levelnet Inc. and Paul Shkliaev
Order Docket No. 21-016-I Mon, 07/26/2021 Brittney McCutcheon Default Judgment and Order
Order Docket No. 13-046-S Mon, 02/24/2014 In Re: George Jones Lincoln
Order Docket No. 20-025-B Fri, 08/28/2020 Grander Mortgage Capital Order Refusing to Renew and Terminating Loan Servicer License
Order Docket No. 18-046-I Tue, 04/16/2019 In Re: Deandre Maze-Carter Default Judgement and Order
Order Docket No. 16-008-I Wed, 01/06/2016 Phenix Mutual Fire Insurance - Stipulation and Consent
Order Docket No. 14-092-I Wed, 12/03/2014 In Re: Oristano Capital, LLC - Stipulation and Consent
Order Docket No. 10-028-S Thu, 03/04/2010 Lisa Graves Consent Order
Order Docket No. 18-029-S Thu, 07/26/2018 In Re: DA Davidson
Order Docket No. 21-032-I Thu, 08/26/2021 Trupanion and American Pet Insurance Company Stipulation and Consent
Order Docket No. 15-006-S Tue, 07/07/2015 Michael Bombardier Stipulation and Consent
Order Docket No. 13-049-S Mon, 09/28/2015 In Re: Tucker Financial Services Stipulation and Consent Order
Order Docket No. 19-059-B Thu, 03/05/2020 North American Financial Management Stipulation and Consent
Order Docket No. 19-019-S Wed, 01/08/2020 Liberty Partners Financial Services Stipulation and Consent
Order Docket No. 16-007-I Mon, 03/07/2016 In Re; Liberty Insurance - Stipulation and Consent
Order Docket No. 14-089-S Mon, 12/01/2014 UBS Financial Services - Consent Order
Order Docket No. 10-002-S Fri, 01/08/2010 Lincoln Financial Securities Consent Order
Order Docket No. 18-015-S Thu, 06/07/2018 In Re: Jacinto “Spirit Wolf” Vega, Jr.
Order Docket No. 21-028-I Wed, 09/15/2021 Adam Damrill Default Judgement and Order
Order Docket No. 22-002-I Tue, 04/05/2022 Kristen Joy Szekely Default Judgment and Order
Order Docket No. 13-047-S Fri, 11/15/2013 State Farm Mutual Funds - Electronic Filings

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)

Public Information
For public records, media inquiries, and press releases visit our Public Information web page

Twitter icon
Facebook icon
LinkedIn icon

Employee Information