|
Order |
Docket No. 19-019-S |
Wed, 01/08/2020 |
Liberty Partners Financial Services Stipulation and Consent |
|
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 Judgement and 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. 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. 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. 19-045-S |
Wed, 10/09/2019 |
Clearwater Investment Trust Order, No Action |
|
Order |
Docket No. 16-022-S |
Tue, 09/06/2016 |
EKN Financial Services, Inc - Default Judgement and Order |
|
Order |
Docket No. 10-080-S |
Thu, 09/23/2010 |
Electronic Notice Filing of Certain Federal Covered Securities with Vermont |
|
Order |
Docket No. 19-052-S |
Thu, 10/31/2019 |
Essex Securities LLC Stipulation and Consent Order |
|
Order |
Docket No. 20-016-S |
Wed, 03/18/2020 |
Fairholme Stipulation and Consent Order |
|
Order |
RESCINDED - Docket No. 16-019-S |
Thu, 04/04/2019 |
First Financial Equity Corporation Order and Consent (Rescinded) |
|
Order |
Docket No. 17-008-S |
Tue, 04/04/2017 |
Fishkin and Crow Hill Capital |
|
Order |
Docket No. 19-022-S |
Wed, 06/05/2019 |
Gallatin Capital LLC Stipulation and Consent Order |
|
Order |
Docket No. 10-032-S |
Tue, 04/27/2010 |
Goldman Sachs Consent Order |
|
Bulletin |
Securities Bulletin 15-01-S |
Mon, 07/20/2015 |
Guidance on Utilizing the Rule Providing for the Vermont Small Business Offerings |
|
Order |
Docket No. 18-020-S |
Fri, 05/03/2019 |
Harris, Weigand, and Global Mining Default Judgement and Order |
