DFR Regulations, Orders, Bulletins and Market Conduct Exams

Typesort ascending Name Effective Date Title
Order Docket No. 19-006-B Wed, 05/22/2019 In Re: Poloniex LLC Stipulation and Consent Order
Order Docket No. 13-033-B Fri, 01/10/2014 Lisa Fendelet - Order
Order Docket No. 19-007-I Thu, 02/07/2019 BCBSVT Risk Based Capital Order
Order Docket No. 19-024-S Mon, 11/25/2019 Sally Jane Boyle Stipulation and Consent
Order Docket No. 16-024-I Tue, 06/28/2016 In Re: Stop Loss Attachment Points
Order Docket No. 19-022-S Wed, 06/05/2019 Gallatin Capital LLC Stipulation and Consent Order
Order Docket No. 19-045-S Sat, 10/09/2021 Clearwater Investment Trust Amendment Order
Order Docket No. 12-056-I Mon, 01/30/2012 In Re: William A Newburn Default Judgement and Order
Order Docket No. 18-043-S Thu, 11/01/2018 In Re: Toro Jax Holdings, LLC
Order Docket No. 20-029-S Wed, 10/14/2020 William J. Therieau Cease and Desist
Order Docket No. 13-026-B Mon, 09/09/2013 In Re: NetSpeed Corporation
Order Docket No. 20-007-I Tue, 04/14/2020 Kendra Aleman Default Judgement and Order
Order Docket No. 20-008-S Tue, 02/25/2020 Thornton Investment Management Stipulation and Consent
Order Docket No. 16-019-I Thu, 06/02/2016 In Re: Credit Card-Related Insurance Benefits
Order Docket No. 19-021-S Thu, 08/29/2019 IBN Financial Services, Inc Stipulation And Consent Order
Order Docket No. 21-037-B Wed, 10/20/2021 Fairway Independent Mortgage Corporation Stipulation and Consent Order
Order Docket No. 12-052-I Tue, 01/22/2013 In Re: Jeffrey Douglas Penta Default Judgement and Order
Order Docket No. 18-032-S Tue, 11/20/2018 LPL Financial LLC
Order Docket No. 13-024-B Sat, 08/31/2013 Amerisave Mortgage - Settlement Agreement and Order
Order Docket No. 13-021-B Sun, 07/21/2013 Securities Finance Trust Company - Order
Order Docket No. 20-016-S Wed, 03/18/2020 Fairholme Stipulation and Consent Order
Order Docket No. 20-009-S Fri, 03/06/2020 Solium Financial Services LLC Stipulation and Consent
Order Docket No. 16-017-I Mon, 06/27/2016 In Re: Ryan Moore - Stipulation and Consent
Order Docket No. 19-038-S Wed, 09/04/2019 Advanced Science Research Inc Stipulation and Consent Order
Order Docket No. 12-049-I Fri, 01/18/2013 In Re: Joan Louise Warner Default Judgement and 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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