Securities

STATE OF VERMONT
DEPARTMENT OF FINANCIAL REGULATION

                                                                       )

            IN RE: Maryland Cultivation         )           Docket No. 19-055-S

                        & Processing, LLC               )

                                                                        )

                                                                        )          

STIPULATION AND CONSENT ORDER

DEPARTMENT OF FINANCIAL REGULATION

MOVANT          

DOCKET NO. 17-018-S

v.   

  RODNEY WINTHROP THOMPSON and       )

  WINTHROP INVESTMENT MGMT CO.       )

RESPONDENTS.                                     )

_______________________________________)
 

 ORDER

STATE OF VERMONT

DEPARTMENT OF FINANCIAL REGULATION

In Re: JACK TRAINHAM  &                    )                      

RETIREMENT AND COLLEGE.             )           Docket Nos. 19-029-I & 19-029-S

FINANCIAL SERVICES OF                      )                      

VERMONT, LLC                                         )                            

STIPULATION AND CONSENT ORDER

STATE OF VERMONT 

DEPARTMENT OF FINANCIAL REGULATION 

) 

IN RE: Essex Securities LLC                      )                  Docket No. 19-052-S 

) 

STIPULATION AND CONSENT ORDER 

This Stipulation and Consent Order (Order) is entered by and among Essex Securities LLC (Respondent), and the State of Vermont Department of Financial Regulation (Department).   

STATE OF VERMONT

DEPARTMENT OF FINANCIAL REGULATION

SECURITIES DIVISION

In the matter of:

Clearwater Investment Trust

Docket No. 19-045-S

ORDER

WHEREAS, the Vermont Commissioner of Financial Regulation (the “Commissioner”) is charged with the administration of the Vermont Uniform Securities Act (the “Act”) under 9 V.S.A. § 5601; and 

This Stipulation and Consent Order (Order) is entered by and among TrustToken, Inc. (Respondent), and the State of Vermont Department of Financial Regulation (Department). 

            WHEREAS, the Commissioner of the Department is responsible for administering and enforcing the Vermont Uniform Securities Act, Title 9, Chapter 150 of the Vermont Statutes, and the Vermont Securities Regulations, Rule S-2016-01, pursuant to which the Department has conducted a review of the Respondent; and

This Stipulation and Consent Order (Order) is entered by and among LiquidPiston, Inc. (Respondent), and the State of Vermont Department of Financial Regulation (Department). 

            WHEREAS, the Commissioner of the Department is responsible for administering and enforcing the Vermont Uniform Securities Act, Title 9, Chapter 150 of the Vermont Statutes, and the Vermont Securities Regulations, Rule S-2016-01, pursuant to which the Department has conducted a review of the Respondent; and

This Stipulation and Consent Order (Order) is entered by and among Advanced Science Research, Inc. (Respondent), and the State of Vermont Department of Financial Regulation (Department). 

            WHEREAS, the Commissioner of the Department is responsible for administering and enforcing the Vermont Uniform Securities Act, Title 9, Chapter 150 of the Vermont Statutes, and the Vermont Securities Regulations, Rule S-2016-01, pursuant to which the Department has conducted a review of the Respondent; and

This Stipulation and Consent Order (Order) is entered by and among IBN Financial Services, Inc. (Respondent), and the State of Vermont Department of Financial Regulation (Department). 

            WHEREAS, the Commissioner of the Department is responsible for administering and enforcing the Vermont Uniform Securities Act, Title 9, Chapter 150 of the Vermont Statutes, and the Vermont Securities Regulations, Rule S-2016-01, pursuant to which the Department has conducted a review of the Respondent; and