Securities
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In Re: Merrill Lynch
STIPULATION AND CONSENT AGREEMENT
The Securities Division of the Vermont Department of Financial Regulation (the “Department”), Merrill Lynch, Pierce, Fenner & Smith Incorporated (“Merrill Lynch”) and Lawrence K. Barber (“Barber”) hereby stipulate and agree as follows:
In Re: Jacinto “Spirit Wolf” Vega, Jr.
FINAL CEASE AND DESIST ORDER
In Re: DA Davidson
STIPULATION AND CONSENT ORDER
This Stipulation and Consent Order (the “Order”) is entered this ___ day of _____, 2018 by and among D.A. Davidson and Co. (“Respondent” or “the Firm”), and the State of Vermont Department of Financial Regulation (“Department”).