DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Type Name Effective Datesort ascending Title
Order Docket No. 17-018-S 07/06/2017 Rodney Winthrop Thompson and Winthrop Investment Mgmt. Co.
Order Docket No. 17-011-S 04/28/2017 John Bodnar and International Assets Advisory, LLC; International Assets Investment Management, LLC
Order Docket No. 17-008-S 04/03/2017 Stanley Fishkin: Crow Hill Capital, Ltd.; Crow Hill Ventures, Ltd.
Order Docket No. 16-027-S 09/26/2016 Gregory Lambesis
Order Docket No. 16-012-S 09/13/2016 Alan F. Dauphin
Order Docket No. 16-020-S 09/01/2016 Aletheia Securities, Inc.
Order Docket No. 16-022-S 09/01/2016 EKN Financial Services, Inc.
Order Docket No. 16-023-S 09/01/2016 KBR Capital Markets, LLC
Order Docket No. 16-021-S 09/01/2016 Obsidian Financial Group, LLC
Order Docket No. 16-001-S 07/01/2016 Repealing in part and retaining in part Order 06-23-S 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. 16-026-S 06/29/2016 Raymond James and Associates, Inc.
Order Docket No. 16-025-S 06/28/2016 Wells Fargo Advisors LLC
Order Docket No. 13-049-S 09/28/2015 Tucker Financial Services, Inc and Daniel Burgess
Order Docket No. 15-006-S 07/07/2015 Michael J. Bombardier
Order Docket No. 14-092-S 12/03/2014 Oristano Capital, LLC
Order Docket No. 14-089-S 12/01/2014 UBS Financial Services Inc.
Order Docket No. 14-023-S 07/21/2014 Solar/Utility No-Action Securities Exemption
Order Docket No. 14-024-S 05/27/2014 Jason Adam Oleet and Middlebury Securities, LLC
Order Docket No. 14-022-S 04/21/2014 Solar Communities, Inc. d/b/a SunCommon
Order Docket No. 11-008-S 04/02/2014 Robert Cully & Winslow, Evans & Crocker
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

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