DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Typesort ascending Name Effective Date Title
Order Superior Court Docket No. 881-11-09 07/25/2012 Malcolm H. Parker—Stipulated Settlement Agreement and Consent Order
Order Docket No. 15-022-I 03/08/2016 The Travelers Indemity Company et. al.
Order Docket No. 06-43-S 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. 11-086-I 12/12/2011 Ronald R. Prohaska
Order Docket No. 10-031-S 04/22/2010 Stifle, Nicolaus & Company, Inc.
Order Docket No. 17-001-I 02/09/2017 Yourpeople, Inc., d/b/a Zenefits FTW Insurance Services
Order Docket No. 14-087-I 03/05/2015 John P. Gutschlag
Order Docket No. 16-007-I 03/07/2016 Liberty Insurance Corp & Safeco Insurance Company of America
Order Docket No. 15-015-I 07/02/2015 Bluestone Life Insurance Company
Order Docket No. 11-021-B 05/06/2011 Order Regarding Effective Date of Sponsorship Requirement for Individual Mortgage Loan Originators that are Employees of Loan Servicing Companies
Order Docket No. 11-088-I 12/12/2011 Jason E. Romero
Order Docket No. 10-002-S 01/15/2010 Lincoln Financial Securities Corporation
Order Docket No. 16-042-I 12/21/2016 MVP Health Plan, Inc. and MVP Health Insurance Company
Order Docket No. 14-040-I 12/23/2014 Steve Stokeling
Order Docket No. 16-006-I 03/07/2016 Liberty Mututal Insurance Co et. al.
Order Docket No. 15-007-B 05/15/2015 MSA Mortgage, LLC
Order Docket No. 11-091-I 02/01/2012 Harold L. Stanyon
Order Docket No. 10-003-S 01/15/2010 Burton J. Steen
Order Docket No. 13-006-I 05/01/2013 Connecticut General Life Insurance Company
Order Docket No. 13-025-S 09/20/2013 UBS Financial Services
Order Docket No. 14-015-I 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. 04-050-S 11/04/2004 Wall Street Advisor Services, LLC
Order Docket No. 11-092-I 12/12/2011 Walter G. Wade
Order Docket No. 10-028-S 03/11/2010 Lisa M. Graves
Order Docket No. 17-008-S 04/03/2017 Stanley Fishkin: Crow Hill Capital, Ltd.; Crow Hill Ventures, Ltd.

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