Order |
Docket No. 20-005-S |
Thu, 04/30/2020 |
Merrill Lynch Stipulation and Consent |
Order |
Docket No. 15-006-S |
Tue, 07/07/2015 |
Michael Bombardier Stipulation and Consent |
Order |
Docket No. 11-026-S |
Tue, 05/31/2011 |
Michael Williams Stipulation and Consent Order |
Order |
Docket No. 20-024-S |
Wed, 06/10/2020 |
Neurotherapeutics, Embera Stipulation and Consent |
Order |
Docket No. 22-022-S |
Mon, 09/26/2022 |
Nexo Inc. Ex Parte Order to Cease and Desist |
Order |
Docket No. 22-022-S |
Thu, 01/26/2023 |
Nexo Inc., Nexo Capital, Inc. and Nexo Financial, LLC Stipulation and Consent Order |
Order |
Docket No. 16-021-S |
Thu, 09/01/2016 |
Obsidian Financial Group, LLC - Default Judgment and Order |
Order |
Docket No. 24-002-S |
Mon, 01/22/2024 |
Order Authorizing Dual Registration Under the Vermont Uniform Securities Act Darraugh Valli, Agent (CRD # 2191309) and Cambridge Investment Research, Inc., Broker (CRD# 39543) et al |
Order |
Docket No. 23-22-S |
Fri, 12/08/2023 |
Order Authorizing Multiple Registration Under VT Uniform Securities Act Thomas Meringolo, Agent (CRD# 4192542) |
Order |
Docket No. 20-027-S |
Fri, 07/10/2020 |
Order Removing Conditions from in the Matter of John A. Bodnar And International Assets Advisory, LLC International Assets Investment Management, LLC Docket No. 17-011-S, April 28, 2017 |
Order |
Docket No. 20-023-S |
Tue, 06/16/2020 |
Overland Storage Stipulation and Consent |
Order |
Docket No. 19-017-S |
Fri, 07/26/2019 |
Pantera Digital Asset Fund LP Stipulation and Consent Order |
Order |
Docket No. 20-026-S (Amendment) |
Wed, 06/10/2020 |
Patrick Mazza Amendment to Ex Parte Order to Cease and Desist |
Order |
Docket No. 20-026-S |
Mon, 06/08/2020 |
Patrick Mazza Ex Parte Order to Cease and Desist |
Order |
Docket No. 21-048-S |
Wed, 09/14/2022 |
Polak Stipulation and Consent Order |
Order |
Docket No. 13-001-S |
Fri, 03/08/2013 |
ProEquities Consent Order |
Order |
Docket No. 21-056-S |
Wed, 01/05/2022 |
Ray Trombley Associates LLC Stipulation and Consent Order |
Order |
Docket No. 23-017-S |
Fri, 11/03/2023 |
Raymond James & Associates, Inc. Consent Order |
Order |
Docket No. 16-026-S |
Sun, 06/05/2016 |
Raymond James and Associates - Consent Order |
Order |
Docket No. 14-022-S |
Mon, 04/07/2014 |
Registration Exemption for SolarCommunities, Inc - Order |
Order |
Docket No. 16-001-S |
Wed, 06/01/2016 |
Repealing In Part Order 06-023-S |
Order |
Docket No. 11-008-S |
Fri, 03/04/2011 |
Robert Cully and Winslow, Evans & Crocker |
Order |
Docket No. 14-001-S |
Fri, 01/17/2014 |
Robert Jamo and Quasar Distributors, LLC |
Order |
Docket No. 21-051-S |
Wed, 03/16/2022 |
Robinhood Financial Stipulation and Consent Order |
Order |
Docket No. 12-022-S |
Mon, 02/13/2012 |
Ronald Berman and Axiom Capital Management Order Removing Conditions |