DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Typesort descending Name Effective Date Title
Market Conduct Docket No. 04-022-I Wed, 10/20/2004 Bankers Life Insurance
Market Conduct Docket No. 03-071-I Wed, 04/21/2004 Monumental Life Insurance Company
Market Conduct Docket No. 03-038-I Tue, 10/21/2003 John Hancock Mutual Life; John Hancock Life Ins Co; John Hancock Variable Life Ins Co.
Market Conduct Docket No. 08-102-H Wed, 12/10/2008 Blue Cross/Blue Shield of Vermont
Market Conduct Docket No. 09-066-I Wed, 06/24/2009 6-24-2009
Market Conduct Docket No. 08-102-H Wed, 12/10/2008 Blue Cross and Blue Shield of Vermont
Market Conduct Docket No. 12-014-I Tue, 05/22/2012 Order Adopting Report Of Examination of NCCI
Market Conduct Docket No. 08-067-I Tue, 08/22/2006 National Life Insurance Company
Market Conduct Docket No. 08-087-I Fri, 08/22/2008 National Life Insurance Company
Market Conduct Docket No. 08-046-I Tue, 04/29/2008 Conseco Senior Health Insurance adn Bankers Life & Casualty Company
Market Conduct Docket No. 07-027-I Thu, 12/13/2007 New England Life Insurance Company of Boston, Massachusetts
Order Docket No. 10-030-S Tue, 05/11/2010 Wells Fargo Investments, LLC
Order No: 14-016-S Wed, 03/05/2014 Deceptive marketing and other violations by Morgan Keegan companies
Order Docket No. 12-031-I Wed, 02/27/2013 Horace Mann Insurance Co.
Order Ord-06-43-S(all exhibits) Fri, 07/07/2006 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. 10-038-S Fri, 05/14/2010 Peter Van Hamm and Meyers Associates, L.P.
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. 10-072-S Wed, 08/25/2010 Adam Sclafani and John Thomas Financial
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. 11-008-S Mon, 03/14/2011 Robert Cully and Winslow, Evans & Crocker, Inc.
Order Docket No. 10-032-S Tue, 04/27/2010 Goldman, Sachs & Co.
Order Docket No. 05-059-S Thu, 11/17/2005 Axiom Capital Management
Order Docket No. 11-026-S Tue, 05/31/2011 Michael T. Williams
Order Docket No. 04-010-S Fri, 06/25/2010 Gary L. Saccaro and Paulson Investment Co., Inc.

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