| Order |
Docket No. 14-089-S |
Mon, 12/01/2014 |
UBS Financial Services - Consent Order |
| Order |
Docket No. 14-023-S |
Mon, 07/21/2014 |
Vermont Solar / Utility No-Action "SUN" Exemption |
| Order |
Docket No. 14-024-S |
Tue, 05/27/2014 |
Jason Oleet and Middlebury Securities, LLC - Order |
| Order |
Docket No. 14-022-S |
Mon, 04/07/2014 |
Registration Exemption for SolarCommunities, Inc - Order |
| Order |
Docket No. 13-046-S |
Mon, 02/24/2014 |
In Re: George Jones Lincoln |
| Order |
Docket No. 14-001-S |
Fri, 01/17/2014 |
Robert Jamo and Quasar Distributors, LLC |
| Order |
Docket No. 14-002-S |
Mon, 01/06/2014 |
Thomas Donnelly and Quasar Distributors, LLC |
| Order |
Docket No. 13-047-S |
Fri, 11/15/2013 |
State Farm Mutual Funds - Electronic Filings |
| Order |
Docket No. 13-022-S |
Thu, 10/10/2013 |
In Re: Surety Services Stipulation and Consent Order |
| 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 |
