DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Typesort descending Name Effective Date Title
Order Docket No. 14-022-S Mon, 04/21/2014 Solar Communities, Inc. d/b/a SunCommon
Order Docket No. 12-055-I Wed, 01/30/2013 Charmaine Holtz
Order Docket No. 13-055-I Mon, 12/16/2013 John J. Brendel, Jr.
Order Docket No. 13-020-B Mon, 09/16/2013 Brandon Thomas Maddick
Order Docket No. 10-003-S Fri, 01/15/2010 Burton J. Steen
Order Docket No. 14-024-S Tue, 05/27/2014 Jason Adam Oleet and Middlebury Securities, LLC
Order Docket No. 12-011-I Wed, 07/18/2012 Michael Paul Ippolito
Order Docket No. 13-011-I Wed, 12/17/2014 Prest & Associates, Inc.
Order Docket No. 11-021-B Fri, 05/06/2011 Order Regarding Effective Date of Sponsorship Requirement for Individual Mortgage Loan Originators that are Employees of Loan Servicing Companies
Order Docket No. 13-018-B Mon, 09/16/2013 Zackary Nathan Tierney
Order Docket No. 06-43-S Fri, 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. 10-028-S Thu, 03/11/2010 Lisa M. Graves
Order Docket No. 12-007-I Fri, 04/20/2012 Roland C. Matatics
Order Docket No. 11-058-I Wed, 11/16/2011 Edward L. Austin, III
Order Docket No. 13-017-B Mon, 09/16/2013 David Leonard Rome
Order Docket No. 10-029-S Tue, 04/27/2010 UBS Securities, LLC and UBS Financial Services, Inc.
Order Docket No. 13-025-S Fri, 09/20/2013 UBS Financial Services
Order Docket No. 12-047-I Fri, 01/18/2013 Dylan A. Molina
Order Docket No. 11-059-I Thu, 12/22/2011 Joshua K. Barney
Order Docket No. 13-010-B Mon, 05/13/2013 Shelter Mortgage Company, LLC.
Order Docket No. 14-023-S Mon, 07/21/2014 Solar/Utility No-Action Securities Exemption
Order Docket No. 13-028-S Sat, 08/17/2013 NRG Residential Solar Systems LLC
Order Docket No. 12-056-I Wed, 01/30/2013 William A. Newburn
Order Docket No. 11-060-I Tue, 11/29/2011 David W. Barrell
Order Docket No. 11-033-I Thu, 06/30/2011 Union Mutual Fire Insurance Company

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