DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Typesort descending Name Effective Date Title
Order Docket No. 15-004-B Wed, 03/11/2015 PYC, Inc. BLU-BIN, Inc.
Order Docket No. 10-040-I Sat, 07/03/2010 Peter R. Becker
Order Docket No. 14-001-S Fri, 01/17/2014 Robert Jamo, Agent and Quasar Distributors, LLC Broker: Brookfield Investments
Order Docket No. 04-050-S Thu, 11/04/2004 Wall Street Advisor Services, LLC
Order Docket No. 13-001-S Thu, 02/28/2013 Bankers Life and Casualty Company and BLC Financial Services, Inc.
Order Docket No. 11-092-I Mon, 12/12/2011 Walter G. Wade
Order Docket No. 09-096-I Fri, 11/20/2009 Liberty Mutual Ins. Company Order to Show Cause
Order Docket No. 12-012-B Fri, 05/11/2012 Transition Period For Financial Advisors To Obtain a Mortgage Loan Originator License
Order Docket No. 13-030-I Mon, 08/04/2014 Alicia Marie Goodman a/k/a Lisa Goodman; David Charles Goodman
Order Docket No. 11-007-S Sat, 02/05/2011 Henry Corrao and EKN Financial Services, Inc.
Order Docket No. 14-088-B Mon, 12/22/2014 Debra Kinney
Order Docket No. 10-052-S Tue, 06/15/2010 John D. Buglisi & Rockwell Global Capital, LLC
Order Docket No. 15-006-S Tue, 07/07/2015 Michael J. Bombardier
Order Docket No. 13-002-I Thu, 03/14/2013 Order Establishing Tier Rate Structure and Multipliers
Order Docket No. 11-094-I Wed, 01/04/2012 Kemener M. Whalen
Order Docket No. 13-040-I Thu, 11/07/2013 Lorraine L. Locke
Order Docket No. 09-074-H Mon, 03/21/2011 Southwestern Vermont Medical Center Fiscal Year 2009 Budget Performance
Order Docket No. 14-004-B Thu, 04/03/2014 United Capital Business Lending, Inc.
Order Docket No. 13-043-I Fri, 01/31/2014 Direct enrollment in VHC modified
Order Docket No. 15-017-I Mon, 07/13/2015 Concord General Mutual Insurance Company
Order Docket No. 11-052-I Tue, 10/25/2011 Allen Zargo
Order Docket No. 09-094-1 Wed, 02/10/2010 2Morrow Studio/Build, Inc.
Order Docket No. 13-032-I Thu, 10/31/2013 MVP Health Plan, Inc. and MVP Health Insurance Company
Order Docket No. 13-038-B Thu, 05/22/2014 Plaza Home Mortgage, Inc.
Order Docket No. 10-051-I Fri, 07/23/2010 Monumental Life Insurance Company

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