| Order |
Docket No. 19-019-S |
Wed, 01/08/2020 |
Liberty Partners Financial Services Stipulation and Consent |
| Order |
Docket No. 22-004-S |
Fri, 01/13/2023 |
(FINAL ORDER) Voyager Ex Parte Order to Cease and Desist |
| Order |
Docket No. 19-024-S |
Thu, 08/01/2019 |
375 North Avenue Stipulation and Consent Order |
| Order |
Docket No. 19-025-S |
Thu, 08/01/2019 |
375 North Avenue Stipulation and Consent Order (2) |
| Order |
Docket No. 19-026-S |
Thu, 08/01/2019 |
375 North Avenue Stipulation and Consent Order (3) |
| Order |
Docket No. 19-069-S |
Fri, 03/06/2020 |
Account Management, DeRoetth Stipulation and Consent |
| Order |
Docket No. 19-038-S |
Wed, 09/04/2019 |
Advanced Science Research Inc Stipulation and Consent Order |
| Order |
Docket No. 16-020-S |
Thu, 09/01/2016 |
Aletheia Securities, Inc - Default Judgment and Order |
| Order |
Docket No. 23-012-S |
Mon, 07/31/2023 |
Alpenglow Advisors Stipulation and Consent Order |
| Order |
Docket No. 06-043-S |
Fri, 07/07/2006 |
Applying Provisions of Certain Regulations, Bulletins, Policy Statements, and Orders to the Vermont Securities Act |
| Order |
Docket No. 23-CV-04806 |
Thu, 11/16/2023 |
Assurance of Voluntary Compliance Morgan Stanley Smith Barney LLC |
| Order |
Docket No. 21-049-S |
Tue, 09/13/2022 |
Avantax Stipulation and Consent Order |
| Order |
Docket No. 17-030-S |
Wed, 11/08/2017 |
Bankers Life and Casualty |
| Order |
Docket No. 12-003-S |
Thu, 01/19/2012 |
Barry Cassese and KC Ward Financial |
| Order |
Docket No. 20-017-S |
Wed, 03/18/2020 |
Benchmark Company Stipulation and Consent |
| Order |
Docket No. 21-025-S |
Mon, 02/14/2022 |
BlockFi Consent Order |
| Order |
Docket No. 21-025-S |
Mon, 07/26/2021 |
BlockFI Show Cause Order |
| Order |
Docket No. 19-042-S |
Tue, 09/10/2019 |
Broad Street Capital Markets LLC - Ex Parte Order to Cease and Desist |
| Order |
Docket No. 10-052-S |
Wed, 06/09/2010 |
Buglisi and Rockwell Global Capital Consent Order |
| Order |
Docket No. 18-030-S |
Fri, 05/25/2018 |
Cease and Desist Levelnet Inc. and Paul Shkliaev |
| Order |
Docket No.22-021-S |
Fri, 08/12/2022 |
Celsius Order For Ex Parte Cease and Desist |
| Order |
Docket No. 22-011-S |
Tue, 05/03/2022 |
Chadwick Ex Parte Order to Cease and Desist |
| Order |
Docket No. 22-011-S |
Fri, 06/17/2022 |
Chadwick Stipulation and Interim Consent Order |
| Order |
Docket No. 19-045-S |
Sat, 10/09/2021 |
Clearwater Investment Trust Amendment Order |
| Order |
Docket No. 19-045-S |
Wed, 10/09/2019 |
Clearwater Investment Trust Order, No Action |
