DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Typesort descending Name Effective Date Title
Order Docket No. 11-095-I Wed, 11/16/2011 Joseph D. Zorn, Jr.
Order Docket No. 13-056-I Wed, 04/16/2014 Redonda Lawrence Russell
Order Docket No. 10-040-I Sat, 07/03/2010 Peter R. Becker
Order Docket No. 13-033-B Fri, 01/10/2014 Lisa Marie Fendelet
Order Docket No. 14-001-S Fri, 01/17/2014 Robert Jamo, Agent and Quasar Distributors, LLC Broker: Brookfield Investments
Order Docket No. 16-020-I Sun, 01/01/2017 Stop Loss Attachment Points
Order Docket No. 13-001-S Thu, 02/28/2013 Bankers Life and Casualty Company and BLC Financial Services, Inc.
Order Docket No. 15-020-I Wed, 07/15/2015 GEICO
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. 12-044-I Fri, 01/18/2013 Tasheanna Barnes
Order Docket No. 11-007-S Sat, 02/05/2011 Henry Corrao and EKN Financial Services, Inc.
Order Docket No. 13-041-I Mon, 11/18/2013 Travis C. Shine
Order Docket No. 10-052-S Tue, 06/15/2010 John D. Buglisi & Rockwell Global Capital, LLC
Order Docket No. 13-026-B Mon, 09/09/2013 NetSpend Corporation
Order Docket No. 16-001-S Fri, 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. 13-029-S Thu, 09/26/2013 Cease and Desist Order for David and Alicia (Lisa) Goodman, Mountain Group Financial of Leicester
Order Docket No. 13-002-I Thu, 03/14/2013 Order Establishing Tier Rate Structure and Multipliers
Order Docket No. 12-039-I Tue, 02/05/2013 Christie Glenn
Order Docket No. 12-025-I Tue, 08/28/2012 Maria G. Gonzalez
Order Docket No. 09-074-H Mon, 03/21/2011 Southwestern Vermont Medical Center Fiscal Year 2009 Budget Performance
Order Docket No. 13-053-I Mon, 12/16/2013 Dorothy Torro-Claflin
Order Docket No. 13-058-B Thu, 12/19/2013 Ocwen Financial Corp. and Ocwen Loan Servicing, LLC.
Order Docket No. 13-043-I Fri, 01/31/2014 Direct enrollment in VHC modified
Order Docket No. 13-030-I Fri, 03/07/2014 Suspension of resident insurance producer licenses for David and Alicia (Lisa) Goodman, Mountain Group Financial of Leicester
Order Docket No. 12-005-I Fri, 04/20/2012 Roy Allen Gray

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