Sally Jane Boyle Stipulation and Consent
STATE OF VERMONT DEPARTMENT OF FINANCIAL REGULATION
SECURITIES DIVISION
)
IN RE: )
Securities
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Liberty Partners Financial Services Stipulation and Consent
STATE OF VERMONT
DEPARTMENT OF FINANCIAL REGULATION
Maryland Cultivation and Processing Stipulation and Consent
STATE OF VERMONT
DEPARTMENT OF FINANCIAL REGULATION
)
IN RE: Maryland Cultivation ) Docket No. 19-055-S
Winthrop Investment Management Order
DEPARTMENT OF FINANCIAL REGULATION
MOVANT
DOCKET NO. 17-018-S
v.
RODNEY WINTHROP THOMPSON and )
WINTHROP INVESTMENT MGMT CO. )
RESPONDENTS. )
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
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
Clearwater Investment Trust Order, No Action
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
TrustToken, Inc. Stipulation and Consent Order
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
LiquidPiston, Inc. Stipulation and Consent Order
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