DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Typesort descending Name Effective Date Title
Order Docket No. 11-001-B Tue, 03/22/2011 Upper Valley Mortgage, LLC
Order Docket No. 10-002-S Fri, 01/15/2010 Lincoln Financial Securities Corporation
Order Docket No. 13-043-I Thu, 11/07/2013 Order to smooth transition to VHC
Order Docket No. 11-076-I Fri, 12/16/2011 Charles G. McCullough
Order Docket No. 10-063-B Fri, 07/23/2010 Academy Mortgage Corporation
Order Docket No. 10-003-S Fri, 01/15/2010 Burton J. Steen
Order Docket No. 13-047-S Fri, 11/15/2013 State Farm Mutual Funds
Order Docket No. 11-077-I Mon, 12/19/2011 Mark Edward McGinnis
Order Docket No. 10-045-B Thu, 07/15/2010 Redwood Financial Partners, LLC.
Order Docket No. 10-028-S Thu, 03/11/2010 Lisa M. Graves
Order Docket No. 13-011-I Tue, 11/25/2014 CIGNA Behavioral Health, Inc.
Order Docket No. 13-016-S Thu, 12/05/2013 Settlement Against RBC Capital Markets
Order Docket No. 11-007-S Wed, 07/18/2012 In the matter of: Henry Corrao and EKN Financial Services
Order Docket No. 11-078-I Fri, 12/09/2011 Ian M. Miller
Order Docket No. 10-044-B Thu, 07/15/2010 Mortgage Capital, Inc. d/b/a JRL Mortgage Capital
Order Docket No. 10-029-S Tue, 04/27/2010 UBS Securities, LLC and UBS Financial Services, Inc.
Order Docket No. 14-089-S Mon, 12/01/2014 UBS Financial Services Inc.
Order Docket No. 13-046-S Wed, 12/11/2013 Settlement against CCO Investment Corp
Order Docket No. 15-019-I Tue, 06/30/2015 Maine Mutual Group Insurance Company
Order Docket No. 11-081-I Thu, 11/17/2011 Todd W. Mugford
Order Docket No. 10-043-B Thu, 07/15/2010 QuoteMatch, LLC.
Order Docket No. 10-042-B Thu, 07/15/2010 1st Citizen Mortgage, LLC. d/b/a Champlain Valley Mortgage
Order Docket No. 10-080-S Thu, 09/23/2010 Electronic Notice Filing of Certain Federal Covered Securities with the State of Vermont
Order Docket No. 14-092-S Wed, 12/03/2014 Oristano Capital, LLC
Order Docket No. 12-022-S Thu, 01/17/2013 Ronald Berman and AXIOM Capital Management Inc.

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