Overland Storage Stipulation and Consent
STATE OF VERMONT|
DEPARTMENT OF FINANCIAL REGULATION
)
IN RE: Overland Storage ) Docket No. 20-023-S
Mesa AZ LLC )
)
)
STIPULATION AND CONSENT ORDER
Securities
Top Keyword in securities used for url generation
Neurotherapeutics, Embera Stipulation and Consent
STATE OF VERMONT
DEPARTMENT OF FINANCIAL REGULATION
)
IN RE: Embera ) Docket No. 20-024-S
Neurotherapeutics, Inc. )
)
)
STIPULATION AND CONSENT ORDER
Patrick Mazza Ex Parte Order to Cease and Desist
STATE OF VERMONT
DEPARTMENT OF FINANCIAL REGULATION
)
IN RE: Patrick Mazza ) DOCKET NO. 20-026-S
Evolution Mentor Capital Inc. )
Ex Parte Order to Cease and Desist
Patrick Mazza Amendment to Ex Parte Order to Cease and Desist
STATE OF VERMONT
DEPARTMENT OF FINANCIAL REGULATION
)
IN RE: Patrick Mazza ) DOCKET NO. 20-026-S
Evolution Mentor Capital Inc. )
Amendment to Ex Parte Order to Cease and Desist
Merrill Lynch Stipulation and Consent
STATE OF VERMONT
DEPARTMENT OF FINANCIAL REGULATION
In Re: MERRILL LYNCH, PIERCE, ) Docket No. 20-005-S
FENNER & SMITH INCORPORATED )
STIPULATION AND CONSENT ORDER
The Vermont Department of Financial Regulation (the “Department”) and Merrill Lynch, Pierce, Fenner & Smith Incorporated (“Merrill”) hereby enter into this Stipulation and Consent Order (“Order”).
Introduction and Parties
Fairholme Stipulation and Consent Order
STATE OF VERMONT DEPARTMENT OF FINANCIAL REGULATION
)
IN RE: Fairholme Distributors, LLC ) Docket No. 20-16-S
)
STIPULATION AND CONSENT ORDER
This Stipulation and Consent Order (Order) is entered by and among Fairholme Distributors, LLC (Respondent), and the State of Vermont Department of Financial Regulation (Department).
Benchmark Company Stipulation and Consent
STATE OF VERMONT
DEPARTMENT OF FINANCIAL REGULATION
)
IN RE: The Benchmark Company, LLC ) Docket No. 20-017-S
)
STIPULATION AND CONSENT ORDER
This Stipulation and Consent Order (Order) is entered by and among The Benchmark Company, LLC (Respondent), and the State of Vermont Department of Financial Regulation (Department).
Account Management, DeRoetth Stipulation and Consent
STATE OF VERMONT
DEPARTMENT OF FINANCIAL REGULATION
In Re: Account Management, )
Christopher De Roetth, And ) 19-069-S
Peter De Roetth )
STIPULATION AND CONSENT ORDER
Solium Financial Services LLC Stipulation and Consent
STATE OF VERMONT DEPARTMENT OF FINANCIAL REGULATION
SECURITIES DIVISION
)
IN RE: )
SOLIUM FINANCIAL SERVICES LLC ) DOCKET NO. 20-009-S
)
)
STIPULATION AND CONSENT ORDER
Thornton Investment Management Stipulation and Consent
STATE OF VERMONT DEPARTMENT OF FINANCIAL REGULATION
SECURITIES DIVISION
)
IN RE: )
THORNTON INVESTMENT MGMT, PLLC ) DOCKET NO. 20-008-S and PATRICK J. THORNTON )
)
STIPULATION AND CONSENT ORDER