| Order |
Docket No. 13-025-S |
Fri, 09/13/2013 |
UBS Financial Services - Consent Order |
| Order |
Docket No. 13-029-S |
Mon, 09/09/2013 |
In Re: Alicia Goodman Cease and Desist |
| Order |
Docket No. 19-017-S |
Fri, 07/26/2019 |
Pantera Digital Asset Fund LP Stipulation and Consent Order |
| Order |
Docket No. 19-012-S |
Fri, 05/31/2019 |
In Re: Future Income Payments Final Order to Cease and Desist |
| Order |
Docket No. 13-047-S |
Fri, 11/15/2013 |
State Farm Mutual Funds - Electronic Filings |
| Order |
Docket No. 13-049-S |
Mon, 09/28/2015 |
In Re: Tucker Financial Services Stipulation and Consent Order |
| Order |
Docket No. 13-046-S |
Mon, 02/24/2014 |
In Re: George Jones Lincoln |
| Order |
Docket No. 18-020-S |
Fri, 05/03/2019 |
Harris, Weigand, and Global Mining Default Judgement and Order |
| Order |
Docket No. 19-012-S |
Tue, 04/02/2019 |
In Re: Future Income Payments, LLC; Scott Kohn |
| Order |
Docket No. 14-002-S |
Mon, 01/06/2014 |
Thomas Donnelly and Quasar Distributors, LLC |
| Regulation |
Reg. S-2016-01 (Revised) |
Thu, 12/16/2021 |
Vermont Securities Regulations |
