DFR Regulations, Orders, Bulletins and Market Conduct Exams

Typesort ascending Name Effective Date Title
Order Docket No. 19-068-I Wed, 03/04/2020 Rebecca Mrozinski Default Judgement and Order
Order Docket No. 12-050-B Thu, 12/06/2012 In Re: Border Lodge Credit Union - Amended Order
Order Docket No. 19-016-I Thu, 10/17/2019 Jason Torres Default Judgement and Order
Order Docket No. 16-036-I Tue, 09/13/2016 In Re: Deborah LeFaivre - Exparte Order for Summary Suspension
Order Docket No. 14-024-S Tue, 05/27/2014 Jason Oleet and Middlebury Securities, LLC - Order
Order Docket No. 13-025-S Fri, 09/13/2013 UBS Financial Services - Consent Order
Order Docket No. 21-005-I Tue, 05/11/2021 Michael Rossette Default Judgement and Order
Order Docket No. 18-004-I Mon, 04/02/2018 In Re: Mario A. Rodas
Order Docket No. 19-062-I Wed, 03/04/2020 Jessica Hendrickson 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. 18-054-I Tue, 10/15/2019 Matthew F Gains Default Judgement and Order
Order Docket No. 16-035-I Wed, 11/09/2016 In Re: Brittany Ouellette, Default Judgement and Order
Order Docket No. 14-022-S Mon, 04/07/2014 Registration Exemption for SolarCommunities, Inc - Order
Order Docket No. 13-022-S Thu, 10/10/2013 In Re: Surety Services Stipulation and Consent Order
Order Docket No. 18-049-S Tue, 11/27/2018 Stock Investment Management Inc.
Order Docket No. 12-020-B and 12-021-B Fri, 10/05/2012 VSECU Settlement Agreement
Order Docket No. 19-052-S Thu, 10/31/2019 Essex Securities LLC Stipulation and Consent Order
Order Docket No. 19-008-S Fri, 02/22/2019 In Re: FP Capitol, LLC
Order Docket No. 16-029-I Wed, 09/07/2016 In Re: Brendan Mayworm Stipulation and Consent
Order Docket No. 14-002-S Mon, 01/06/2014 Thomas Donnelly and Quasar Distributors, LLC
Order Docket No. 13-001-S Fri, 02/08/2013 UVEST Financial Services Group Consent Order
Order Docket No. 21-020-I Wed, 06/09/2021 Michael Fish Default Judgment and Order
Order Docket No. 18-044-S Tue, 11/06/2018 In Re: Barker Partnership Fund
Order Docket No. 19-007-I Thu, 02/07/2019 BCBSVT Risk Based Capital Order
Order Docket No. 12-012-B Fri, 05/11/2012 In Re: 8 VSA Chapter 73 - Order for Financial Advisors to Obtain Mortgage Loan Originator License Transition

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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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