DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Typesort descending Name Effective Date Title
Order Docket No. 13-001-S Fri, 02/08/2013 UVest Financial Services Group, Inc.
Order Docket No. 09-097-B Thu, 07/23/2009 8 V.S.A. Chapter 73 Licensed Lender Statute, Act No. 29 (H.171) 2009 - Order Regarding Effective Date Of Deletion Of Licensed Lender Statute Exemption For Nonprofit 501(c) Organizations That Conduct Their Lending Activities Through Revolving Loan Funds
Order Docket No. 09-094-1 Wed, 02/10/2010 2Morrow Studio/Build, Inc.
Order Docket No. 11-007-S Sat, 02/05/2011 Henry Corrao and EKN Financial Services, Inc.
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. 10-052-S Tue, 06/15/2010 John D. Buglisi & Rockwell Global Capital, LLC
Order Docket No. 12-022-S Wed, 02/13/2013 Order Removing Conditions from Ronald Berman and AXIOM Capital Management
Order Docket No. 09-128-B Mon, 09/28/2009 8 V.S.A. Chapter 73 Licensed Lender Statute, Act No. 29 (H.171) 2009 - Order Regarding: (A) Modification Of Transition Deadline; (B) Submission Of Credit Reports And Credit Scores; And (C) The Date The Department Will Begin Accepting Mortgage Loan ...
Order Docket No. 09-074-H Mon, 03/21/2011 Southwestern Vermont Medical Center Fiscal Year 2009 Budget Performance
Order Superior Court Docket No. 881-11-09 Wed, 07/25/2012 Malcolm H. Parker—Stipulated Settlement Agreement and Consent Order
Order Docket No. 14-002-S Tue, 01/21/2014 Thomas Donnelly, Agent and Quasar Distributors, LLC Broker: Brookfield Investments
Order Docket No. 13-001-S Thu, 02/28/2013 Bankers Life and Casualty Company and BLC Financial Services, Inc.
Order Docket No. 12-012-B Fri, 05/11/2012 Transition Period For Financial Advisors To Obtain a Mortgage Loan Originator License
Order Docket No. 10-051-I Fri, 07/23/2010 Monumental 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. 13-002-I Thu, 03/14/2013 Order Establishing Tier Rate Structure and Multipliers
Order Docket No. 10-057-I Mon, 07/19/2010 Karianne Scott
Order Docket No. 13-043-I Fri, 01/31/2014 Direct enrollment in VHC modified
Order Docket No. 11-097-I Mon, 01/30/2012 United Healthcare
Order Docket No. 13-046-S Mon, 02/24/2014 George Jones Lincoln IV and CCO Investment Services Corp.
Order Docket No. 10-030-S Tue, 05/11/2010 Wells Fargo Investments, LLC
Order Docket 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 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

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