Securities

DFR Docket No. 22-004-S • Ex Parte Order to Cease and Desist 

Voyager Digital Holdings LTD | “Final Order” as of January 13, 2023

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

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

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

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

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

STATE OF VERMONT
DEPARTMENT OF FINANCIAL REGULATION

In Re:

DOCKET NO. 21-025-S

BLOCKFI LENDING LLC

WHEREAS, BlockFi Lending LLC (“BlockFi”) is a New Jersey-based financial services company that offered and sold interest-bearing digital asset accounts called BlockFi Interest Accounts (“BIAs”), through which investors lend digital assets to BlockFi in exchange for BlockFi’s promise to provide variable monthly interest payment; and