DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Type Name Effective Datesort ascending Title
Order Docket No. 14-016-S 03/05/2014 Deceptive marketing and other violations by Morgan Keegan companies
Order Docket No. 13-046-S 02/24/2014 George Jones Lincoln IV and CCO Investment Services Corp.
Order Docket No. 14-013-S 02/13/2014 Barry F. Cassese, Barry Cassese Portfolio Consulting, Sean E. Romano, and C&R Portfolio Consulting, Inc.
Order Docket No. 14-002-S 01/21/2014 Thomas Donnelly, Agent and Quasar Distributors, LLC Broker: Brookfield Investments
Order Docket No. 14-001-S 01/17/2014 Robert Jamo, Agent and Quasar Distributors, LLC Broker: Brookfield Investments
Order Docket No. 13-046-S 12/11/2013 Settlement against CCO Investment Corp
Order Docket No. 13-016-S 12/05/2013 Settlement Against RBC Capital Markets
Order Docket No. 13-047-S 11/15/2013 State Farm Mutual Funds
Order Docket No. 13-022-S 11/07/2013 Surety Services LLC of Delaware
Order Docket No. 13-025-S 09/20/2013 UBS Financial Services
Order Docket No. 13-028-S 08/17/2013 NRG Residential Solar Systems LLC
Order Docket No. 13-001-S 03/08/2013 ProEquities, Inc.
Order Docket No. 13-001-S 02/28/2013 Bankers Life and Casualty Company and BLC Financial Services, Inc.
Order Docket No. 12-022-S 02/13/2013 Order Removing Conditions from Ronald Berman and AXIOM Capital Management
Order Docket No. 13-001-S 02/08/2013 UVest Financial Services Group, Inc.
Order Docket No. 12-022-S 01/17/2013 Ronald Berman and AXIOM Capital Management Inc.
Order Docket No. 12-037-S 11/12/2012 DFR adopts NASAA exemption for investment advisers to private funds
Order Superior Court Docket No. 881-11-09 07/25/2012 Malcolm H. Parker—Stipulated Settlement Agreement and Consent Order
Order Docket No. 11-007-S 07/18/2012 In the matter of: Henry Corrao and EKN Financial Services
Order Docket No. 12-003-S 01/26/2012 Barry F. Cassese and K.C. Ward Financial
Regulation S-2011-03 09/01/2011 Rule for the Use of Senior-Specific Certifications and Professional Designations S
Order Docket No. 11-026-S 05/31/2011 Michael T. Williams
Order Docket No. 11-008-S 03/14/2011 Robert Cully and Winslow, Evans & Crocker, Inc.
Order Docket No. 11-007-S 02/05/2011 Henry Corrao and EKN Financial Services, Inc.
Order Docket No. 10-080-S 09/23/2010 Electronic Notice Filing of Certain Federal Covered Securities with the State of Vermont

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