DFR Regulations, Orders, Bulletins and Market Conduct Exams

Typesort ascending Name Effective Date Title
Order Docket No. 19-004-S Thu, 03/14/2019 In RE: Flipside Cryto, Managed 9 LLC
Order Docket No. 20-004-I Tue, 01/14/2020 Union Mutual Fire Insurance Company Stipulation and Consent
Order Docket No. 19-061-I Wed, 03/04/2020 Kathryn Rodriguez Default Judgement and Order
Order Docket No. 06-043-S Fri, 07/07/2006 Applying Provisions of Certain Regulations, Bulletins, Policy Statements, and Orders to the Vermont Securities Act
Order Docket No. 18-020-S Fri, 05/03/2019 Harris, Weigand, and Global Mining Default Judgement and Order
Order Docket No. 16-008-I Wed, 01/06/2016 Phenix Mutual Fire Insurance - Stipulation and Consent
Order Docket No. 13-031-I Tue, 10/22/2013 Dairyland Insurance - Stipulation and Consent
Order Docket No. 20-037-I Wed, 01/27/2021 Northwestern Mutual Life Insurance Company Stipulation and Consent
Order Docket No. 18-029-S Thu, 07/26/2018 In Re: DA Davidson
Order Docket No. 14-088-B Mon, 12/22/2014 Debra Kinney - Order
Order Docket No. 15-028-I Fri, 10/30/2015 Mark Bean Stipulation and Consent
Order Docket No. 19-066-I Wed, 03/04/2020 Jaymore Hicks Default Judgement and Order
Order Docket No. 19-039-I Mon, 08/12/2019 Danjack Enterprises 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. 18-051-I Mon, 05/13/2019 In Re: Michael Robert Dietzel Default Judgement and Order
Order Docket No. 16-007-I Mon, 03/07/2016 In Re; Liberty Insurance - Stipulation and Consent
Order Docket No. 13-030-I Wed, 03/05/2014 In Re: Alicia Goodman - Order
Order Docket No. 20-036-I Wed, 02/24/2021 Order for Revocation of License - Thandi
Order Docket No. 18-015-S Thu, 06/07/2018 In Re: Jacinto “Spirit Wolf” Vega, Jr.
Order Docket No. 18-011-S Wed, 02/21/2018 In Re: Merrill Lynch
Order Docket No. 14-028-B Thu, 06/12/2014 In Re: MH Pillars, Inc - Stipulation and Consent
Order Docket No. 19-070-B Tue, 01/21/2020 Uphold HQ Stipulation and Consent
Order Docket No. 19-63-I Wed, 03/04/2020 Tori Liporace Default Judgement and Order
Order Docket No. 19-024-S Thu, 08/01/2019 375 North Avenue Stipulation and Consent Order
Order Docket No. 12-023-I Wed, 02/13/2013 Bankers Life Stipulation and Consent 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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