DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Typesort ascending Name Effective Date Title
Order Docket No. 10-029-S Tue, 04/27/2010 UBS Securities, LLC and UBS Financial Services, Inc.
Order Docket No. 14-092-S Wed, 12/03/2014 Oristano Capital, LLC
Order Docket No. 13-046-S Wed, 12/11/2013 Settlement against CCO Investment Corp
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. 14-013-S Thu, 02/13/2014 Barry F. Cassese, Barry Cassese Portfolio Consulting, Sean E. Romano, and C&R Portfolio Consulting, Inc.
Order Docket No. 12-022-S Thu, 01/17/2013 Ronald Berman and AXIOM Capital Management Inc.
Order Superior Court Docket No. 881-11-09 Wed, 07/25/2012 Malcolm H. Parker—Stipulated Settlement Agreement and Consent Order
Order Docket No. 12-022-S Wed, 02/13/2013 Order Removing Conditions from Ronald Berman and AXIOM Capital Management
Order Docket No. 10-0098-H Mon, 10/04/2010 MVP Health Insurance
Order Docket No. 14-002-S Tue, 01/21/2014 Thomas Donnelly, Agent and Quasar Distributors, LLC Broker: Brookfield Investments
Order Docket No. 10-020-H Thu, 10/07/2010 Reliance Standard Life Insurance Company
Order Docket No. 14-001-S Fri, 01/17/2014 Robert Jamo, Agent and Quasar Distributors, LLC Broker: Brookfield Investments
Order Docket No. 10-059-H Fri, 10/29/2010 Aetna Insurance Company
Order Docket No. 14-015-I Thu, 01/22/2015 Jeffrey R. Faber—Order Adopting Hearing Officer’s Proposal for Decision and Upholding The Department’s Decision to Deny Respondent a Resident Producer Insurance License
Order Docket No. H-09-063 Mon, 03/08/2010 United Health Group
Order Docket No. 12-037-S Mon, 11/12/2012 DFR adopts NASAA exemption for investment advisers to private funds
Order Docket No. 12-003-S Thu, 01/26/2012 Barry F. Cassese and K.C. Ward Financial
Order Docket No. 10-027-1 Mon, 10/04/2010 Acadia Insurance Company
Order Docket No. 10-033-B Mon, 04/19/2010 Order Regarding Effective Date Of Individual Mortgage Loan Originator Licensing For Employees Of Loan Servicing Companies
Order Docket No. 13-043-I Fri, 01/31/2014 Direct enrollment in VHC modified
Order Docket No. 10-024-I Mon, 11/15/2010 International Fidelity Insurance Company
Order Docket No. 13-032-I Fri, 11/01/2013 MVP Health Plan, Inc. and MVP Health Ins. Co.
Order Docket No. 13-046-S Mon, 02/24/2014 George Jones Lincoln IV and CCO Investment Services Corp.
Order Docket No. 11-023-I Mon, 12/10/2012 Hartford Stipulation and Consent Order
Order Docket No. 10-096-I Thu, 10/14/2010 Liberty Mutual Group

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