DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Typesort descending Name Effective Date Title
Order Docket No. 11-065-I 12/12/2011 Jeremy M. Fairbanks
Order Docket No. 17-013-B 05/11/2017 Order Exempting NASAA From Licensure Under The Vermont Money Services Act
Order Docket No. 12-021-B 10/05/2012 Vermont State Employees Credit Union—Settlement Agreement
Order Docket No. 13-001-S 03/08/2013 ProEquities, Inc.
Order Docket No. 13-039-I 10/02/2014 Robert Antonacci
Order Docket No. 10-052-S 06/15/2010 John D. Buglisi & Rockwell Global Capital, LLC
Order Docket No. 13-043-I 01/31/2014 Direct enrollment in VHC modified
Order Docket No. 12-049-I 01/18/2013 Joan Louise Warner
Order Docket No. 11-066-I 11/16/2011 Margaret L. Ferguson
Order Docket No. 11-102-B 11/21/2011 SunTrust Mortgage, Inc.
Order Docket No. 11-007-S 02/05/2011 Henry Corrao and EKN Financial Services, Inc.
Order Docket No. 14-038-I 09/08/2014 William C. Mount
Order Docket No. 15-008-I 08/05/2015 Alton L. Willard
Order Docket No. 15-030-I 12/29/2015 Timothy J. Clain
Order Docket No. 13-046-S 02/24/2014 George Jones Lincoln IV and CCO Investment Services Corp.
Order Docket No. 12-048-I 01/18/2013 Crystal F. Welle
Order Docket No. 11-097-I 01/30/2012 United Healthcare
Order Docket No. 11-068-I 01/04/2012 Mitchell R. Fleischer
Order Docket No. 11-025-B 05/27/2011 Mortgage Access Corp. d/b/a Weichert Financial Services
Order Docket No. 09-074-H 03/21/2011 Southwestern Vermont Medical Center Fiscal Year 2009 Budget Performance
Order Docket No. 14-039-I 09/09/2014 Jillian E. Wood
Order Docket No. 13-049-S 09/28/2015 Tucker Financial Services, Inc and Daniel Burgess
Order Docket No. 10-051-I 07/23/2010 Monumental Life Insurance Company
Order Docket No. 14-016-S 03/05/2014 Deceptive marketing and other violations by Morgan Keegan companies
Order Docket No. 12-006-I 04/20/2012 Kevin J. Whitney

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