DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Type Namesort descending Effective Date Title
Order Docket No. 04-010-S 06/25/2010 Gary L. Saccaro and Paulson Investment Co., Inc.
Order Docket No. 04-050-S 11/04/2004 Wall Street Advisor Services, LLC
Order Docket No. 05-059-S 11/17/2005 Axiom Capital Management
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. 10-002-S 01/15/2010 Lincoln Financial Securities Corporation
Order Docket No. 10-003-S 01/15/2010 Burton J. Steen
Order Docket No. 10-028-S 03/11/2010 Lisa M. Graves
Order Docket No. 10-029-S 04/27/2010 UBS Securities, LLC and UBS Financial Services, Inc.
Order Docket No. 10-030-S 05/11/2010 Wells Fargo Investments, LLC
Order Docket No. 10-031-S 04/22/2010 Stifle, Nicolaus & Company, Inc.
Order Docket No. 10-032-S 04/27/2010 Goldman, Sachs & Co.
Order Docket No. 10-038-S 05/14/2010 Peter Van Hamm and Meyers Associates, L.P.
Order Docket No. 10-052-S 06/15/2010 John D. Buglisi & Rockwell Global Capital, LLC
Order Docket No. 10-072-S 08/25/2010 Adam Sclafani and John Thomas Financial
Order Docket No. 10-080-S 09/23/2010 Electronic Notice Filing of Certain Federal Covered Securities with the State of Vermont
Order Docket No. 11-007-S 02/05/2011 Henry Corrao and EKN Financial Services, Inc.
Order Docket No. 11-007-S 07/18/2012 In the matter of: Henry Corrao and EKN Financial Services
Order Docket No. 11-008-S 03/14/2011 Robert Cully and Winslow, Evans & Crocker, Inc.
Order Docket No. 11-008-S 04/02/2014 Robert Cully & Winslow, Evans & Crocker
Order Docket No. 11-026-S 05/31/2011 Michael T. Williams
Order Docket No. 12-003-S 01/26/2012 Barry F. Cassese and K.C. Ward Financial
Order Docket No. 12-022-S 01/17/2013 Ronald Berman and AXIOM Capital Management Inc.
Order Docket No. 12-022-S 02/13/2013 Order Removing Conditions from Ronald Berman and AXIOM Capital Management
Order Docket No. 12-037-S 11/12/2012 DFR adopts NASAA exemption for investment advisers to private funds
Order Docket No. 13-001-S 02/08/2013 UVest Financial Services Group, Inc.

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