Securities

CEASE AND DESIST ORDER

The Commissioner of the Vermont Department of Financial Regulation (“Commissioner”), based on the Ex Parte Motion for Cease and Desist Order filed by the Securities Division and the attachment thereto, finds that grounds exist to order that the above-named Respondents immediately cease and desist from violating the Vermont Uniform Securities Act, 9 V.S.A. Chapter 150 (“the VUSA”), and hereby issues the following Findings of Fact, Conclusions of Law, Order and Notice of Right to Hearing.

FINDINGS OF FACT

Summary of Findings

STIPULATION AND CONSENT ORDER

            This stipulation and Consent Order (Order) is entered the _______day of _________, 2018, by and among Toro Jax Holdings, LLC (Respondent), and the State of Vermont Department of Financial Regulation (Department). 

            WHEREAS, the Commissioner of the Department is responsible for administering and enforcing the Vermont Uniform Securities Act, Title 9, Chapter 150 of the Vermont Statutes, and the Vermont Securities Regulations, Rule S-2016-01, pursuant to which the Department has conducted a review of the Respondent; and

STIPULATION AND CONSENT ORDER

            This stipulation and Consent Order (Order) is entered the _______day of ________, 20___, by and among Barker Partnership Fund (Respondent), and the State of Vermont Department of Financial Regulation (Department). 

            WHEREAS, the Commissioner of the Department is responsible for administering and enforcing the Vermont Uniform Securities Act, Title 9, Chapter 150 of the Vermont Statutes, and the Vermont Securities Regulations, Rule S-2016-01, pursuant to which the Department has conducted a review of the Respondent; and

STIPULATION AND CONSENT ORDER

This Stipulation and Consent Order is entered this 27th day of November 2018 by and among Peter Stock (“Stock”), Stock Investment Management Inc. (“SIMI”) (together, “Respondents”) and the Vermont Department of Financial Regulation (the “Department”).

STIPULATION AND CONSENT ORDER

            This Stipulation and Consent Order (Order) is entered by and among FP Capitol, LLC (Respondent), and the State of Vermont Department of Financial Regulation (Department). 

            WHEREAS, the Commissioner of the Department is responsible for administering and enforcing the Vermont Uniform Securities Act, Title 9, Chapter 150 of the Vermont Statutes, and the Vermont Securities Regulations, Rule S-2016-01, pursuant to which the Department has conducted a review of the Respondent; and

Table of Contents

AGENCY 21. DEPARTMENT OF FINANCIAL REGULATION  
SUB-AGENCY 030. SECURITIES DIVISION  
CHAPTER 001. VERMONT SECURITIES REGULATIONS (S-2016-01)

VERMONT SECURITIES REGULATIONS (S-2016-01)

CHAPTER 1
TITLE, AUTHORITY, AND DEFINITIONS

V.S.R. § 1-1. Title; Authority.

STATE OF VERMONT
DEPARTMENT OF FINANCIAL REGULATION