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
Securities
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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
Sally Jane Boyle Stipulation and Consent
STATE OF VERMONT DEPARTMENT OF FINANCIAL REGULATION
SECURITIES DIVISION
)
IN RE: )
SJ BOYLE WEALTH PLANNING, LLC ) DOCKET NO. 19-54-S SALLY JANE BOYLE )
)
STIPULATION AND CONSENT ORDER
Liberty Partners Financial Services Stipulation and Consent
STATE OF VERMONT
DEPARTMENT OF FINANCIAL REGULATION
IN RE: Liberty Partners Financial Services, LLC ) Docket No. 19-019-S
STIPULATION AND CONSENT ORDER
This Stipulation and Consent Order (Order) is entered by and among Liberty Partners Financial Services, LLC (Respondent), and the State of Vermont Department of Financial Regulation (Department).
Maryland Cultivation and Processing Stipulation and Consent
STATE OF VERMONT
DEPARTMENT OF FINANCIAL REGULATION
)
IN RE: Maryland Cultivation ) Docket No. 19-055-S
& Processing, LLC )
)
)
STIPULATION AND CONSENT ORDER
Winthrop Investment Management Order
DEPARTMENT OF FINANCIAL REGULATION
MOVANT
DOCKET NO. 17-018-S
v.
RODNEY WINTHROP THOMPSON and )
WINTHROP INVESTMENT MGMT CO. )
RESPONDENTS. )
_______________________________________)
ORDER
Jack Trainham and Retirement And College Financial Services of Vermont Stipulation and Consent
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
Essex Securities 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).