DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Typesort descending Name Effective Date Title
Order Docket No. 13-025-S 09/20/2013 UBS Financial Services
Order Docket No. 16-020-S 09/01/2016 Aletheia Securities, Inc.
Order Docket No. 13-028-S 08/17/2013 NRG Residential Solar Systems LLC
Order Docket No. 16-022-S 09/01/2016 EKN Financial Services, Inc.
Order Docket No. 13-022-S 11/07/2013 Surety Services LLC of Delaware
Order Docket No. 16-023-S 09/01/2016 KBR Capital Markets, LLC
Order Docket No. 13-047-S 11/15/2013 State Farm Mutual Funds
Order Docket No. 16-021-S 09/01/2016 Obsidian Financial Group, LLC
Order Docket No. 13-016-S 12/05/2013 Settlement Against RBC Capital Markets
Order Docket No. 13-046-S 12/11/2013 Settlement against CCO Investment Corp
Order Docket No. 17-008-S 04/03/2017 Stanley Fishkin: Crow Hill Capital, Ltd.; Crow Hill Ventures, Ltd.
Order Docket No. 12-022-S 01/17/2013 Ronald Berman and AXIOM Capital Management Inc.
Order Docket No. 17-011-S 04/28/2017 John Bodnar and International Assets Advisory, LLC; International Assets Investment Management, LLC
Order Docket No. 12-022-S 02/13/2013 Order Removing Conditions from Ronald Berman and AXIOM Capital Management
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 02/24/2014 George Jones Lincoln IV and CCO Investment Services Corp.
Order Docket No. 06-43-S 07/07/2006 Applying Provisions of Certain Regulations, Bulletins, Policy Statements and Orders in Effect Prior to July 1, 2006, to the Vermont Uniform Securities Act.
Order Docket No. 14-016-S 03/05/2014 Deceptive marketing and other violations by Morgan Keegan companies
Order Docket No. 10-052-S 06/15/2010 John D. Buglisi & Rockwell Global Capital, LLC
Order Docket No. 05-059-S 11/17/2005 Axiom Capital Management
Order Docket No. 10-030-S 05/11/2010 Wells Fargo Investments, LLC
Order Docket No. 11-008-S 04/02/2014 Robert Cully & Winslow, Evans & Crocker
Order Docket No. 10-038-S 05/14/2010 Peter Van Hamm and Meyers Associates, L.P.
Order Docket No. 14-022-S 04/21/2014 Solar Communities, Inc. d/b/a SunCommon

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