Consent Order in Re TradeStation Crypto, Inc.
Consent Order in Re TradeStation Crypto, Inc.
DFR Docket No. 24-001-S
Securities
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Order Authorizing Dual Registration Under the Vermont Uniform Securities Act Darraugh Valli, Agent (CRD # 2191309) and Cambridge Investment Research, Inc., Broker (CRD# 39543) et al
Order Authorizing Dual Registration Under the Vermont Uniform Securities Act
Darraugh Valli, Agent (CRD # 2191309) and Cambridge Investment Research, Inc., Broker (CRD# 39543); and Family Investors, Broker (CRD# 1785)
Judgment and Order in Re Colomont, Inc. and Christopher Santee
Docket No. 21-050-S | Judgment and Order in Re Colomont, Inc. and Christopher Santee
Stipulation and Consent Order in Re Thomas M. Chadwick, Chadwick & D'Amato
Stipulation and Consent Order in Re Thomas M. Chadwick (CRD# 2870028), Chadwick & D'Amato LLC (CRD# 116197) and Chadwick Consulting LLC (CRD # 318079)
Order Authorizing Multiple Registration Under VT Uniform Securities Act Thomas Meringolo, Agent (CRD# 4192542)
Docket No. 23-22-S Order Authorizing Multiple Registration Under the Vermont Uniform Securities Act | Thomas Meringolo, Agent (CRD# 4192542)
and Long Bridge Securities, LLC, Broker (CRD# 314519)
Tulipshare Securities, LLC, Broker (CRD# 317568)
Dam Capital (USA) Inc., Broker (CRD# 154945)
Exeter Capital Companies, LLC Stipulation and Consent Order
Stipulation and Consent Order • Docket No. 23-019-S • Exeter Capital Companies, LLC (CRD #127101)
Raymond James & Associates, Inc. Consent Order
Consent Order in Re: Raymond James & Associates, Inc. (“RJA”) and Raymond James Financial Services, Inc. (“RJFS”) (RJA and RJFS collectively “Respondents).
Safeguard Metals LLC | Jeffrey Ikahn FKA Jeffrey Santulan
DOCKET NO. 23-013-S
In Re: Safeguard Metals LLC | Jeffrey Ikahn FKA Jeffrey Santulan
Alpenglow Advisors Stipulation and Consent Order
In Re Alpenglow Advisors, LLC | Docket No. 23-012-S | Stipulation and Consent Order