DFR Regulations, Orders, Bulletins and Market Conduct Exams

Typesort ascending Name Effective Date Title
Order Docket No. 20-026-S Mon, 06/08/2020 Patrick Mazza Ex Parte Order to Cease and Desist
Order Docket No. 19-029-I Tue, 07/16/2019 In Re: Jack Trainham Ex Parte Order to Cease and Desist
Order Docket No. 18-020-S Fri, 05/03/2019 Harris, Weigand, and Global Mining Default Judgement and Order
Order Docket No. 18-014-I Tue, 07/10/2018 In Re: Saul D. Suster
Order Docket No. 13-031-I Tue, 10/22/2013 Dairyland Insurance - Stipulation and Consent
Order Docket No. 14-088-B Mon, 12/22/2014 Debra Kinney - Order
Order Docket No. 19-036-S Wed, 10/02/2019 TrustToken, Inc. Stipulation and Consent Order
Order Docket No. 16-036-I Mon, 06/26/2017 In Re: Deborah LeFaivre - Default Judgement and Order
Order Docket No. 18-037-I Fri, 11/30/2018 Nikolaos Para Default Judgement and Order
Order Docket No. 19-017-S Fri, 07/26/2019 Pantera Digital Asset Fund LP Stipulation and Consent Order
Order Docket No. 12-025-I Tue, 08/28/2012 In Re: Maria Gonzales Stipulation and Consent Order
Order Docket No. 18-012-I Fri, 02/23/2018 In Re: BlueCross BlueShield of Vermont
Order Docket No. 13-030-I Wed, 03/05/2014 In Re: Alicia Goodman - Order
Order Docket No. 14-028-B Thu, 06/12/2014 In Re: MH Pillars, Inc - Stipulation and Consent
Order Docket No. 19-043-I Fri, 03/06/2020 Kimberley Zem Stipulation and Consent Order
Order Docket No. 19-045-S Wed, 10/09/2019 Clearwater Investment Trust Order, No Action
Order Docket No. 16-036-I Tue, 09/13/2016 In Re: Deborah LeFaivre - Exparte Order for Summary Suspension
Order Docket No. 20-024-S Wed, 06/10/2020 Neurotherapeutics, Embera Stipulation and Consent
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. 12-023-I Wed, 02/13/2013 Bankers Life Stipulation and Consent Order
Order Docket No. 18-004-I Mon, 04/02/2018 In Re: Mario A. Rodas
Order Docket No. 13-011-I Wed, 12/17/2014 In Re: Prest and Associates - Stipulation and Consent
Order Docket No. 14-004-B Thu, 04/03/2014 In Re: United Capital Business Lending, Inc - Order
Order Docket No. 19-069-S Fri, 03/06/2020 Account Management, DeRoetth Stipulation and Consent
Order Docket No. 21-007-S Fri, 04/30/2021 Louis Olave Stipulation and Consent Order

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

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833-337-4685 (toll free)

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