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Advanced Science Research Inc Stipulation and Consent Order

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

 

IBN Financial Services, Inc Stipulation And Consent Order

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

Gallatin Capital LLC Stipulation and Consent Order

This Stipulation and Consent Order (Order) is entered by and among Gallatin Capital LLC (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

IN RE: Escondido Village 388 DE Stipulation and Consent Order

STATE OF VERMONT

DEPARTMENT OF FINANCIAL REGULATION

 

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            IN RE: Escondido Village 388 DE  )           Docket No.  19-034-S

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STIPULATION AND CONSENT ORDER

 

Broad Street Capital Markets LLC - Ex Parte Order to Cease and Desist

Based on the motion of the Securities Division of the Vermont Department of Financial Regulation (“the Department”), pursuant to 9 V.S.A. Sections 5604 and Section 13 of Department Regulation 82-1 (Revised)  for an order requiring Broad Street Capital Markets LLC (Broad Street) to cease and desist from engaging in the securities business in Vermont, the Commissioner makes the following findings of fact and rulings of law and enters the following order:

FINDINGS OF FACT      

375 North Avenue Stipulation and Consent Order (3)

STATE OF VERMONT
DEPARTMENT OF FINANCIAL REGULATION

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            IN RE:   375 North Avenue LLC     )           Docket No. 19-026-S

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STIPULATION AND CONSENT ORDER

375 North Avenue Stipulation and Consent Order (2)

STATE OF VERMONT
DEPARTMENT OF FINANCIAL REGULATION

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            IN RE:   375 North Avenue LLC     )           Docket No. 19-025-S

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STIPULATION AND CONSENT ORDER

375 North Avenue Stipulation and Consent Order

STATE OF VERMONT
DEPARTMENT OF FINANCIAL REGULATION

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            IN RE:   375 North Avenue LLC     )           Docket No. 19-024-S

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STIPULATION AND CONSENT ORDER

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