The Vermont Department of Financial Regulation (DFR) has issued a Stipulation and Consent Order against Arque Advisors, LLC, identified by Docket No. 26-004-S. The order indicates that Arque Advisors has agreed to stipulations and consent regarding alleged violations of securities regulations. While the specific violations and settlement details are within the attached PDF, the nature of a consent order suggests a resolution to an enforcement action, likely involving corrective actions and potentially financial penalties.

This enforcement action requires Arque Advisors, LLC to cease and desist from specific prohibited activities and adhere to the terms of the consent order. Compliance officers should review the full PDF document to understand the exact nature of the violations, any required remediation, and the financial implications for the firm. Failure to comply with the consent order could result in further regulatory action and penalties.