| Order |
Docket No. 20-009-S |
Fri, 03/06/2020 |
Solium Financial Services LLC Stipulation and Consent |
| Order |
Docket No. 19-069-S |
Fri, 03/06/2020 |
Account Management, DeRoetth Stipulation and Consent |
| Order |
Docket No. 20-017-S |
Wed, 03/18/2020 |
Benchmark Company Stipulation and Consent |
| Order |
Docket No. 20-016-S |
Wed, 03/18/2020 |
Fairholme Stipulation and Consent Order |
| Order |
Docket No. 20-005-S |
Thu, 04/30/2020 |
Merrill Lynch Stipulation and Consent |
| 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. 20-024-S |
Wed, 06/10/2020 |
Neurotherapeutics, Embera Stipulation and Consent |
| Order |
Docket No. 20-023-S |
Tue, 06/16/2020 |
Overland Storage Stipulation and Consent |
| 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. 20-029-S |
Wed, 10/14/2020 |
William J. Therieau Cease and Desist |
| Order |
Docket No. 20-034-S |
Fri, 11/20/2020 |
Krista Scruggs and Zafa Wines Ex Parte Cease and Desist |
| Order |
Docket No. 20-029-S (Amendment) |
Fri, 12/11/2020 |
Therieau Amendment to Ex Parte Order to Cease and Desist |
| Order |
Docket No. 20-029-S |
Tue, 03/16/2021 |
Therieau Financial Services Final Order |
| Order |
Docket No. 21-007-S |
Fri, 04/30/2021 |
Louis Olave Stipulation and Consent Order |
| Order |
Docket No. 21-025-S |
Mon, 07/26/2021 |
BlockFI Show Cause Order |
| Order |
Docket No. 19-045-S |
Sat, 10/09/2021 |
Clearwater Investment Trust Amendment Order |
| Order |
Docket No. 21-050-S |
Wed, 12/22/2021 |
In Re: Colomont, Inc. and Christopher Santee Show Cause Order |
| Order |
Docket No. 21-053-S (Withdrawn) |
Fri, 01/07/2022 |
WITHDRAWN - Carinthia Ex Parte Order to Cease and Desist |
| Order |
Docket No. 16-038-S |
Tue, 04/26/2016 |
LPL Financial Consent Order |
| Order |
Docket No. 21-025-S |
Mon, 02/14/2022 |
BlockFi Consent Order |
| Order |
Docket No. 14-023-S |
Mon, 07/21/2014 |
Vermont Solar / Utility No-Action "SUN" Exemption |
| Order |
Docket No. 21-051-S |
Wed, 03/16/2022 |
Robinhood Financial Stipulation and Consent Order |
| Order |
Docket No. 22-004-S |
Tue, 03/29/2022 |
Voyager Digital Show Cause Order |
| Order |
Docket No. 15-006-S |
Tue, 07/07/2015 |
Michael Bombardier Stipulation and Consent |
