DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Typesort ascending Name Effective Date Title
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. 12-031-I Wed, 02/27/2013 Horace Mann Insurance Co.
Order Docket No. 12-025-I Tue, 08/28/2012 Maria G. Gonzalez
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. 13-030-I Fri, 03/07/2014 Suspension of resident insurance producer licenses for David and Alicia (Lisa) Goodman, Mountain Group Financial of Leicester
Order 12-041-I Wed, 05/22/2013 Application by the Proposed Vermont Health CO-OP For a Certificate of Public Good and Certificate of Authority to Commence Business as a Domestic Mutual Insurance Company
Order Docket No. 12-005-I Fri, 04/20/2012 Roy Allen Gray
Order Docket No. 13-004-I Fri, 04/19/2013 Triad Guaranty Insurance Corporation
Order Docket No. 13-024-B Wed, 07/31/2013 Amerisave Mortgage Corporation
Order Docket No. 16-026-S Wed, 06/29/2016 Raymond James and Associates, Inc.
Order Docket No. 10-030-S Tue, 05/11/2010 Wells Fargo Investments, LLC
Order Docket No. 05-059-S Thu, 11/17/2005 Axiom Capital Management
Order Docket No. 14-064-I Thu, 08/27/2015 Progressive Insurance Companies
Order Docket No. 12-042-I Fri, 01/11/2013 Robin Louella Hixon
Order Docket No. 09-084-B Wed, 07/08/2009 8 V.S.A. Chapter 73 Licensed Lender Statute, Act No. 29 (H.171) 2009 - Order Regarding Effective Date Of Deletion Of Nonprofit Institutions Of Higher Education Exemption
Order Docket No. 13-008-I Thu, 04/11/2013 Ullico Casualty Company
Order Docket No. 13-021-B Mon, 07/29/2013 Securities Finance Trust Company
Order Docket No. 16-025-S Tue, 06/28/2016 Wells Fargo Advisors LLC
Order Docket No. 10-038-S Fri, 05/14/2010 Peter Van Hamm and Meyers Associates, L.P.
Order Docket No. 11-008-S Wed, 04/02/2014 Robert Cully & Winslow, Evans & Crocker
Order Docket No: 13-003-I Tue, 05/28/2013 CIGNA (Connecticut General Life Insurance Co.) is ordered to pay a $7,500 penalty
Order Docket No. 12-055-I Wed, 01/30/2013 Charmaine Holtz

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