Rhode Island Securities Enforcement

Rhode Island Securities Division Consent Agreement with Strategic Financial LLC

The Rhode Island Securities Division has entered into a consent agreement with Strategic Financial LLC for violations of the Rhode Island Uniform Securities Act. The firm will pay a $3,000 penalty for conducting business without proper registration as an investment adviser in the state.

Thomas A. Vigil - Consent Agreement

The State of Rhode Island Securities Division has entered into a consent agreement with Thomas A. Vigil. The agreement addresses alleged violations of securities regulations, including unregistered securities and unlicensed activity. Specific sanctions and undertakings are outlined.

Vanguard Marketing Corporation and Vanguard Group Consent Order

The Rhode Island Securities Division has entered into a consent order with Vanguard Marketing Corporation and The Vanguard Group, Inc. The order resolves an investigation into Vanguard's recommendation to lower investment minimums for certain funds, resulting in capital gains tax distributions to shareholders. Vanguard has agreed to the terms of the settlement.

TradeStation Crypto Inc. Consent Order Regarding Digital Asset Accounts

The Rhode Island Department of Business Regulation Securities Division issued a consent order against TradeStation Crypto, Inc. (TCI) concerning its digital asset accounts. TCI will pay $1,500,000 in settlement payments and cease offering unregistered securities.

Edward D. Jones & Co. L.P. - Consent Order for Supervision Failures

The Rhode Island Department of Business Regulation issued a consent order against Edward D. Jones & Co., L.P. for failures in supervising financial advisors who serviced customers during a two-year period. The order stems from a multistate investigation coordinated by NASAA.