DFR Regulations, Orders, Bulletins and Market Conduct Exams

Typesort descending Name Effective Date Title
Order Docket No. 16-038-S Tue, 04/26/2016 LPL Financial Consent Order
Order Docket No. 13-047-S Fri, 11/15/2013 State Farm Mutual Funds - Electronic Filings
Order Docket No. 18-012-I Fri, 02/23/2018 In Re: BlueCross BlueShield of Vermont
Order Docket No. 19-050-I Thu, 12/19/2019 Lorie Jean Zylicz Default Judgement and Order
Order Docket No. 14-089-S Mon, 12/01/2014 UBS Financial Services - Consent Order
Order Docket No. 10-038-S Wed, 05/05/2010 Van Hamm and Meyers Associates Consent Order
Order Docket No. 19-027-B Fri, 08/14/2020 ADP Pacific, Inc. Stipulation And Consent Order
Order Docket No.22-021-S Fri, 08/12/2022 Celsius Order For Ex Parte Cease and Desist
Order Docket No. 16-036-I Tue, 09/13/2016 In Re: Deborah LeFaivre - Exparte Order for Summary Suspension
Order Docket No. 20-039-I Tue, 03/23/2021 Joel Pitt Default Judgement and Order
Order Docket No. 18-004-I Mon, 04/02/2018 In Re: Mario A. Rodas
Order Docket No. 20-019-I Thu, 05/28/2020 Homesite Insurance Company Stipulation and Consent
Order Docket No. 12-050-B Thu, 12/06/2012 In Re: Border Lodge Credit Union - Amended Order
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. 14-024-S Tue, 05/27/2014 Jason Oleet and Middlebury Securities, LLC - Order
Order Docket No. 10-032-S Tue, 04/27/2010 Goldman Sachs Consent Order
Order Docket No. 22-015-I Wed, 08/17/2022 Riley Default Judgment and Order
Order Docket No. 16-035-I Wed, 11/09/2016 In Re: Brittany Ouellette, Default Judgement and Order
Order Docket No. 21-021-B Tue, 03/30/2021 ZenPayroll Stipuation and Consent Order
Order Docket No. 21-034-I Fri, 11/05/2021 Benjamin Feick Default Judgment and Order
Order Docket No. 18-049-S Tue, 11/27/2018 Stock Investment Management Inc.
Order Docket No. 20-015-I Tue, 06/09/2020 Teon Sumpter Default Judgement and Order
Order Docket No. 12-027-B Tue, 07/03/2012 In Re: IH Financial Licenses Inc. Stipulation and Consent
Order Docket No. 17-018-S Mon, 01/06/2020 Winthrop Investment Management Order
Order Docket No. 14-022-S Mon, 04/07/2014 Registration Exemption for SolarCommunities, Inc - Order

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

802-828-3301
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833-337-4685 (toll free)

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