DFR Regulations, Orders, Bulletins and Market Conduct Exams

Typesort ascending Name Effective Date Title
Order Docket No. 16-019-I Thu, 06/02/2016 In Re: Credit Card-Related Insurance Benefits
Order Docket No. 18-035-I Mon, 05/13/2019 In Re: Ramona Hall Default Judgement and Order
Order Docket No. 19-061-I Wed, 03/04/2020 Kathryn Rodriguez Default Judgement and Order
Order Docket No. 18-032-S Tue, 11/20/2018 LPL Financial LLC
Order Docket No. 22-004-S Tue, 03/29/2022 Voyager Digital Show Cause Order
Order Docket No. 12-052-I Tue, 01/22/2013 In Re: Jeffrey Douglas Penta Default Judgement and Order
Order Docket No. 13-024-B Sat, 08/31/2013 Amerisave Mortgage - Settlement Agreement and Order
Order Docket No. 19-026-S Thu, 08/01/2019 375 North Avenue Stipulation and Consent Order (3)
Order Docket No. 20-036-I Wed, 02/24/2021 Order for Revocation of License - Thandi
Order Docket No. 16-017-I Mon, 06/27/2016 In Re: Ryan Moore - Stipulation and Consent
Order Docket No. 19-012-S Fri, 05/31/2019 In Re: Future Income Payments Final Order to Cease and Desist
Order Docket No. 19-066-I Wed, 03/04/2020 Jaymore Hicks Default Judgement and Order
Order Docket No. 18-030-S Fri, 05/25/2018 Cease and Desist Levelnet Inc. and Paul Shkliaev
Order Docket No. 12-049-I Fri, 01/18/2013 In Re: Joan Louise Warner Default Judgement and Order
Order Docket No. 19-057-I Mon, 02/10/2020 Lluri Jimenez Default Judgement and Order
Order Docket No. 13-021-B Sun, 07/21/2013 Securities Finance Trust Company - Order
Order Docket No. 21-050-S Wed, 12/22/2021 In Re: Colomont, Inc. and Christopher Santee Show Cause Order
Order Docket No. 19-042-S Tue, 09/10/2019 Broad Street Capital Markets LLC - Ex Parte Order to Cease and Desist
Order Docket No. 20-032-I Wed, 02/24/2021 Order for Revocation of License - Rasnake
Order Docket No. 16-008-I Wed, 01/06/2016 Phenix Mutual Fire Insurance - Stipulation and Consent
Order Docket No. 19-006-B Wed, 05/22/2019 In Re: Poloniex LLC Stipulation and Consent Order
Order Docket No. 19-63-I Wed, 03/04/2020 Tori Liporace Default Judgement and Order
Order Docket No. 18-029-S Thu, 07/26/2018 In Re: DA Davidson
Order Docket No. 15-006-S Tue, 07/07/2015 Michael Bombardier Stipulation and Consent
Order Docket No. 12-048-I Fri, 01/18/2013 In Re: Crystal F Welle Default Judgement and Order

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

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833-337-4685 (toll free)

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