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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).
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).
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
