| Order |
Docket No. 20-001-I |
Wed, 03/04/2020 |
Abdulrasheed Berte Default Judgment and Order |
| Order |
Docket No. 20-007-I |
Tue, 04/14/2020 |
Kendra Aleman Default Judgment and Order |
| Order |
Docket No. 13-025-S |
Fri, 09/13/2013 |
UBS Financial Services - Consent Order |
| Order |
Docket No. 10-052-S |
Wed, 06/09/2010 |
Buglisi and Rockwell Global Capital Consent Order |
| Order |
Docket No. 15-021-B |
Tue, 07/07/2015 |
Sherman, Clay and Co - Stipulation and Consent |
| Order |
Docket No. 10-080-S |
Thu, 09/23/2010 |
Electronic Notice Filing of Certain Federal Covered Securities with Vermont |
| Order |
Docket No. 11-007-S |
Sun, 02/13/2011 |
Henry Corrao and EKN Financial Services |
| Order |
Docket No. 11-008-S |
Fri, 03/04/2011 |
Robert Cully and Winslow, Evans & Crocker |
| Order |
Docket No. 11-026-S |
Tue, 05/31/2011 |
Michael Williams Stipulation and Consent Order |
| Order |
Docket No. 12-003-S |
Thu, 01/19/2012 |
Barry Cassese and KC Ward Financial |
| Order |
Docket No. 12-022-S |
Mon, 02/13/2012 |
Ronald Berman and Axiom Capital Management Order Removing Conditions |
| 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. 13-022-S |
Thu, 10/10/2013 |
In Re: Surety Services Stipulation and Consent Order |
| Order |
Docket No. 20-023-S |
Tue, 06/16/2020 |
Overland Storage Stipulation and Consent |
| Order |
Docket No. 13-029-S |
Mon, 09/09/2013 |
In Re: Alicia Goodman Cease and Desist |
| Order |
Docket No. 19-037-I |
Wed, 07/31/2019 |
Small Association Leadership Alliance, et al Ex Parte Order To Cease And Desist |
| Order |
Docket No. 19-017-S |
Fri, 07/26/2019 |
Pantera Digital Asset Fund LP Stipulation and Consent Order |
| Order |
Docket No. 19-029-I |
Tue, 07/16/2019 |
In Re: Jack Trainham Ex Parte Order to Cease and Desist |
| Order |
Docket No. 19-023-I |
Tue, 07/02/2019 |
Order for the Acquisition of Control of WellCare Health Plans of Vermont, Inc. by Centene Corporation |
| Order |
Docket No. 20-017-S |
Wed, 03/18/2020 |
Benchmark Company Stipulation and Consent |
| Order |
Docket No. 19-059-B |
Thu, 03/05/2020 |
North American Financial Management Stipulation and Consent |
| Order |
Docket No. 19-006-B |
Wed, 05/22/2019 |
In Re: Poloniex LLC Stipulation and Consent Order |
| Order |
Docket No. 19-065-I |
Wed, 03/04/2020 |
Jasmyne Franking Default Order and Judgment |
| Order |
Docket No. 13-049-S |
Mon, 09/28/2015 |
In Re: Tucker Financial Services Stipulation and Consent Order |
