| 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. 13-001-S |
Fri, 03/08/2013 |
ProEquities Consent Order |
| Order |
Docket No. 13-001-S |
Fri, 02/08/2013 |
UVEST Financial Services Group Consent Order |
| Order |
Docket No. 12-022-S |
Mon, 02/13/2012 |
Ronald Berman and Axiom Capital Management Order Removing Conditions |
| Order |
Docket No. 12-003-S |
Thu, 01/19/2012 |
Barry Cassese and KC Ward Financial |
| Order |
Docket No. 11-026-S |
Tue, 05/31/2011 |
Michael Williams Stipulation and Consent Order |
| Order |
Docket No. 11-008-S |
Fri, 03/04/2011 |
Robert Cully and Winslow, Evans & Crocker |
| Order |
Docket No. 11-007-S |
Sun, 02/13/2011 |
Henry Corrao and EKN Financial Services |
| Order |
Docket No. 10-080-S |
Thu, 09/23/2010 |
Electronic Notice Filing of Certain Federal Covered Securities with Vermont |
| Order |
Docket No. 10-052-S |
Wed, 06/09/2010 |
Buglisi and Rockwell Global Capital Consent Order |
| Order |
Docket No. 10-038-S |
Wed, 05/05/2010 |
Van Hamm and Meyers Associates Consent Order |
| Order |
Docket No. 10-030-S |
Wed, 04/28/2010 |
Wells Fargo Investments Consent Order |
| Order |
Docket No. 10-032-S |
Tue, 04/27/2010 |
Goldman Sachs Consent Order |
| Order |
Docket No. 10-029-S |
Mon, 04/19/2010 |
UBS Securities Consent Order |
| Order |
Docket No. 10-031-S |
Mon, 04/05/2010 |
Stifel, Nicolaus and Co Consent Order |
| Order |
Docket No. 10-028-S |
Thu, 03/04/2010 |
Lisa Graves Consent Order |
| Order |
Docket No. 10-002-S |
Fri, 01/08/2010 |
Lincoln Financial Securities 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 |
