Krista Scruggs and Zafa Wines Ex Parte Cease and Desist
STATE OF VERMONT
DEPARTMENT OF FINANCIAL REGULATION
)
IN RE: Krista Scruggs ) DOCKET NO. 20-034-S
Zafa Wines LLC )
Ex Parte Order to Cease and Desist
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STATE OF VERMONT
DEPARTMENT OF FINANCIAL REGULATION
)
IN RE: Krista Scruggs ) DOCKET NO. 20-034-S
Zafa Wines LLC )
Ex Parte Order to Cease and Desist
STATE OF VERMONT
DEPARTMENT OF FINANCIAL REGULATION
)
IN RE: WiLLIAM J. THERIEAU & ) Docket no. 20-029-S
THERIEAU FINANCIAL SERVICES LLC )
)
EX PARTE ORDER TO CEASE AND DESIST
STATE OF VERMONT
DEPARTMENT OF FINANCIAL REGULATION
In the matter of
JOHN A. BODNAR
Docket No. 20-027-S
and
INTERNATIONAL ASSETS ADVISORY, LLC
INTERNATIONAL ASSETS INVESTMENT
MANAGEMENT, LLC
Respondents
_____________________________________________
ORDER REMOVING CONDITIONS FROM IN THE MATTER OF JOHN A. BODNAR AND INTERNATIONAL ASSETS ADVISORY, LLC, INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC DOCKET NO. 17-011-S, APRIL 28, 2017
FACTS
STATE OF VERMONT|
DEPARTMENT OF FINANCIAL REGULATION
)
IN RE: Overland Storage ) Docket No. 20-023-S
Mesa AZ LLC )
)
)
STIPULATION AND CONSENT ORDER
STATE OF VERMONT
DEPARTMENT OF FINANCIAL REGULATION
)
IN RE: Embera ) Docket No. 20-024-S
Neurotherapeutics, Inc. )
)
)
STIPULATION AND CONSENT ORDER
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
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
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
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).
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).