Nexo Inc. Ex Parte Order to Cease and Desist
STATE OF VERMONT
DEPARTMENT OF FINANCIAL REGULATION
In Re:
NEXO INC.,
NEXO CAPITAL INC.,
AND NEXO FINANCIAL LLC
)
Docket No. 22-022-S
)
)
)
)
EX PARTE ORDER TO CEASE AND DESIST
Securities
Top Keyword in securities used for url generation
Avantax Stipulation and Consent Order
STATE OF VERMONT
DEPARTMENT OF FINANCIAL REGULATION
IN RE: AVantax INVESTMENT ) docket no. 21-049-s
SERVICES, INC. )
(CRD # 13686) )
)
STIPULATION AND CONSENT ORDER
Polak Stipulation and Consent Order
STATE OF VERMONT
DEPARTMENT OF FINANCIAL REGULATION
IN RE: STEPHEN POLAK ) docket no. 21-048-s
(CRD # 5228523) )
)
STIPULATION AND CONSENT ORDER
(FINAL ORDER) Voyager Ex Parte Order to Cease and Desist
DFR Docket No. 22-004-S • Ex Parte Order to Cease and Desist
Voyager Digital Holdings LTD | “Final Order” as of January 13, 2023
Chadwick Stipulation and Interim Consent Order
STATE OF VERMONT
DEPARTMENT OF FINANCIAL REGULATION
In Re:
Thomas m. chadwick (CRD # 2870028), chadwick & D’amato, llc
(CRD # 116197), and chadwick consulting, llc (CRD # 318079)
)
Docket No. 22-011-S
STIPULATION AND INTERIM CONSENT ORDER
Withdrawal of Ex Parte Order to Cease and Desist
STATE OF VERMONT
DEPARTMENT OF FINANCIAL REGULATION
IN RE: Carinthia 1 L.P. ) DOCKET NO. 21-053-S
Carinthia 2 L.P. )
Withdrawal of Ex Parte Order to Cease and Desist
Chadwick Ex Parte Order to Cease and Desist
STATE OF VERMONT
DEPARTMENT OF FINANCIAL REGULATION
In Re:
Thomas m. chadwick (CRD # 2870028), chadwick & D’amato, llc
(CRD # 116197), and chadwick consulting, llc (CRD # 318079)
Docket No. 22-011-S
EX PARTE ORDER TO CEASE AND DESIST
Voyager Digital Show Cause Order
STATE OF VERMONT
DEPARTMENT OF FINANCIAL REGULATION
In Re:
VOYAGER DIGITAL LTD., VOYAGER DIGITAL HOLDINGS, INC., AND VOYAGER DIGITAL, LLC
Docket No. 22-004-S
Show Cause Order
The Vermont Department of Financial Regulation (the “Department”), having the authority to administer and provide for the enforcement of all provisions of 9 V.S.A. Chapter 150, the Vermont Uniform Securities Act of 2002 (the “Securities Act”), upon due consideration of the subject matter hereof, has determined as follows:
Jurisdiction
Robinhood Financial Stipulation and Consent Order
STATE OF VERMONT
DEPARTMENT OF FINANCIAL REGULATION
)
IN RE: ROBINHOOD FINANCIAL LLC ) DOCKET NO. 21-051-S
)
STIPULATION AND CONSENT ORDER
WHEREAS, the Vermont Department of Financial Regulation (the “Department”) asserts that Robinhood Financial LLC (“Respondent”) has violated the securities laws as set forth below; and