DFR Regulations, Orders, Bulletins and Market Conduct Exams

Typesort descending Name Effective Date Title
Order Docket No. 19-046-I Tue, 11/26/2019 John Hancock Life Insurance Company Stipulation and Consent
Order Docket No. 12-025-I Tue, 08/28/2012 In Re: Maria Gonzales Stipulation and Consent Order
Order Docket No. 17-013-B Mon, 05/08/2017 North American Securities Administrators Association
Order Docket No. 11-008-S Fri, 03/04/2011 Robert Cully and Winslow, Evans & Crocker
Order Docket No. 20-041-I Thu, 03/18/2021 Wurtz Stipulation and Consent Order
Order Docket No. 13-030-I Wed, 03/05/2014 In Re: Alicia Goodman - Order
Order Docket No. 14-088-B Mon, 12/22/2014 Debra Kinney - Order
Order Docket No. 16-026-S Sun, 06/05/2016 Raymond James and Associates - Consent Order
Order Docket No. 03-038-I Wed, 12/01/2004 John Hancock Life Insurance Company Consent Order
Order Docket No. 12-023-I Wed, 02/13/2013 Bankers Life Stipulation and Consent Order
Order Docket No. 17-001-I Thu, 02/09/2017 YourPeople, Inc
Order Docket No. 11-007-S Sun, 02/13/2011 Henry Corrao and EKN Financial Services
Order Docket No. 20-039-I Tue, 03/23/2021 Joel Pitt Default Judgement and Order
Order Docket No. 13-011-I Wed, 12/17/2014 In Re: Prest and Associates - Stipulation and Consent
Order Docket No. 20-019-I Thu, 05/28/2020 Homesite Insurance Company Stipulation and Consent
Order Docket No. 14-028-B Thu, 06/12/2014 In Re: MH Pillars, Inc - Stipulation and Consent
Order Docket No. 15-040-B Mon, 11/09/2015 Prospect Mortgage, LLC - Settlement Agreement and Order
Order Docket No. 15-033-B Fri, 11/06/2015 Ocwen Loan Servicing, LLC - Consent Agreement
Order Docket No. 19-051-I Mon, 12/16/2019 Anthony John Panza Stipulation and Consent
Order Docket No. 12-014-I Tue, 05/22/2012 In Re: National Council on Compensation Insurance Order Adopting Report of Examination
Order Docket No. 17-016-I Tue, 08/01/2017 In Re: Liberty Mutual
Order Docket No. 10-080-S Thu, 09/23/2010 Electronic Notice Filing of Certain Federal Covered Securities with Vermont
Order Docket No. 21-021-B Tue, 03/30/2021 ZenPayroll Stipuation and Consent Order
Order Docket No. 13-008-I Thu, 04/11/2013 In Re: Ullico Casualty - Order to Cease and Desist
Order Docket No. 20-015-I Tue, 06/09/2020 Teon Sumpter Default Judgement and Order

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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)

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