Order |
Docket No. 21-053-S (Withdrawn) |
Fri, 01/07/2022 |
WITHDRAWN - Carinthia Ex Parte Order to Cease and Desist |
Order |
Docket No. 21-053-S (Withdrawal) |
Thu, 05/19/2022 |
Withdrawal of Ex Parte Order to Cease and Desist |
Order |
Docket No. 17-018-S |
Mon, 01/06/2020 |
Winthrop Investment Management Order |
Order |
Docket No. 20-029-S |
Wed, 10/14/2020 |
William J. Therieau Cease and Desist |
Order |
Docket No. 10-030-S |
Wed, 04/28/2010 |
Wells Fargo Investments Consent Order |
Order |
Docket No. 16-025-S |
Thu, 06/09/2016 |
Wells Fargo Advisors LLC |
Order |
Docket No. 22-004-S |
Tue, 09/13/2022 |
Voyager Ex Parte Order to Cease and Desist |
Order |
Docket No. 22-004-S |
Tue, 03/29/2022 |
Voyager Digital Show Cause Order |
Order |
Docket No. 14-023-S |
Mon, 07/21/2014 |
Vermont Solar / Utility No-Action "SUN" Exemption |
Regulation |
Reg. S-2016-01 (Revised) |
Thu, 12/16/2021 |
Vermont Securities Regulations |
Order |
Docket No. 10-038-S |
Wed, 05/05/2010 |
Van Hamm and Meyers Associates Consent Order |
Order |
Docket No. 13-001-S |
Fri, 02/08/2013 |
UVEST Financial Services Group Consent Order |
Order |
Docket No. 10-029-S |
Mon, 04/19/2010 |
UBS Securities Consent Order |
Order |
Docket No. 14-089-S |
Mon, 12/01/2014 |
UBS Financial Services - Consent Order |
Order |
Docket No. 13-025-S |
Fri, 09/13/2013 |
UBS Financial Services - Consent Order |
Order |
Docket No. 19-036-S |
Wed, 10/02/2019 |
TrustToken, Inc. Stipulation and Consent Order |
Order |
Docket No. 20-008-S |
Tue, 02/25/2020 |
Thornton Investment Management Stipulation and Consent |
Order |
Docket No. 14-002-S |
Mon, 01/06/2014 |
Thomas Donnelly and Quasar Distributors, LLC |
Order |
Docket No. 23-004-S |
Tue, 04/25/2023 |
Thomas Connolly | Connolly Financial Advisors, LLC Stipulation and Consent Order |
Order |
Docket No. 20-029-S |
Tue, 03/16/2021 |
Therieau Financial Services Final Order |
Order |
Docket No. 20-029-S (Amendment) |
Fri, 12/11/2020 |
Therieau Amendment to Ex Parte Order to Cease and Desist |
Order |
Docket No. 18-049-S |
Tue, 11/27/2018 |
Stock Investment Management Inc. |
Order |
Docket No. 22-011-S |
Mon, 12/11/2023 |
Stipulation and Consent Order in Re Thomas M. Chadwick, Chadwick & D'Amato |
Order |
Docket No. 10-031-S |
Mon, 04/05/2010 |
Stifel, Nicolaus and Co Consent Order |
Order |
Docket No. 13-047-S |
Fri, 11/15/2013 |
State Farm Mutual Funds - Electronic Filings |