DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Typesort ascending Name Effective Date Title
Order Docket No. 17-015-B 06/16/2017 Glenview Auto Loan Fund LLC—Amendment to May 26, 2017 Cease and Desist Order
Order Docket No. 11-086-I 12/12/2011 Ronald R. Prohaska
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. 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. 10-030-S 05/11/2010 Wells Fargo Investments, LLC
Order Docket No. 11-088-I 12/12/2011 Jason E. Romero
Order Docket No. 13-003-I 05/28/2013 CIGNA (Connecticut General Life Insurance Co.) is ordered to pay a $7,500 penalty
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. 16-036-I 06/26/2017 Deborah Lefaivre
Order Docket No. 10-038-S 05/14/2010 Peter Van Hamm and Meyers Associates, L.P.
Order Docket No. 11-091-I 02/01/2012 Harold L. Stanyon
Order Docket No. 16-036-I 09/13/2016 Deborah Lefaivre
Order Docket No. 13-006-I 05/01/2013 Connecticut General Life Insurance Company
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. 11-008-S 03/14/2011 Robert Cully and Winslow, Evans & Crocker, Inc.
Order Docket No. 04-050-S 11/04/2004 Wall Street Advisor Services, LLC
Order Docket No. 10-072-S 08/25/2010 Adam Sclafani and John Thomas Financial
Order Docket No. 11-092-I 12/12/2011 Walter G. Wade
Order Docket No. 16-027-S 09/26/2016 Gregory Lambesis
Order Docket No. 13-030-I 08/04/2014 Alicia Marie Goodman a/k/a Lisa Goodman; David Charles Goodman
Order Docket No. 15-004-B 03/11/2015 PYC, Inc. BLU-BIN, Inc.

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