Vermont Securities Enforcement and Consent Orders
Summary
The Vermont Department of Financial Regulation has published a list of recent securities enforcement and consent orders. These orders involve various financial advisory firms and broker-dealers, detailing stipulations and agreements related to their operations within the state.
What changed
The Vermont Department of Financial Regulation (DFR) has compiled a list of recent securities enforcement and consent orders. These documents, identified by docket numbers, represent formal actions taken against financial advisory firms and broker-dealers operating within Vermont. The orders detail stipulations and agreements, indicating resolutions to potential or actual violations of securities regulations.
Regulated entities, particularly financial advisers and broker-dealers, should review these orders to understand the types of enforcement actions being taken by the Vermont DFR. While specific compliance deadlines are not detailed in this summary list, the nature of consent orders implies that parties have agreed to specific terms, which may include remedial actions, fines, or operational changes. Non-compliance with the terms of these orders could lead to further enforcement or penalties.
What to do next
- Review recent Vermont securities enforcement and consent orders for potential impact on firm operations.
- Ensure compliance with terms stipulated in any applicable consent orders.
- Consult legal counsel regarding any specific obligations arising from these orders.
Source document (simplified)
DFR Regulations, Orders, Bulletins and Market Conduct Exams
Narrow your search by type (choose 1 or many) - Any - Regulation Bulletin Order Market Conduct Has taxonomy terms (with depth) - Any - Securities Insurance DFR Banking Captives
| Type | Name | Effective Date | Title |
| --- | --- | --- | --- |
| Order | Docket No. 26-004-S | Mon, 03/09/2026 | Stipulation and Consent Order Re: Arque Advisors, LLC |
| Order | Docket No. 25-019-S | Fri, 02/27/2026 | Stipulation and Consent Order in Re: RBC Capital Markets, LLC |
| Order | Docket No. 25-020-S | Wed, 02/18/2026 | Stipulation and Consent Order In re: LPL Financial LLC (CRD #6413) |
| Order | Docket No. 25-017-S | Thu, 01/08/2026 | Stipulation and Consent Order In re: Douglas G. Wood and Sandal Wood Investment Group, LLC |
| Order | Docket No. 25-022-S | Fri, 12/12/2025 | Stipulation and Consent Order: In re: TD Ameritrade, Inc. |
| Order | Docket No. 25-021-S | Thu, 10/16/2025 | Stipulation and Consent Order In re: Stifel, Nicolaus & Company, Inc. (CRD #793) |
| Order | Docket No. 25-018-S | Thu, 10/09/2025 | Stipulation and Consent Order In re: Edward D. Jones & Co., L.P. (CRD #250) |
| Order | Docket No. 19-045-S | Mon, 10/06/2025 | Second Amendment to Order: Clearwater Investment Trust |
| Order | Docket No. 25-017-S | Thu, 09/04/2025 | Order Conditioning Investment Adviser Representative Registration - Douglas G. Wood |
| Order | Docket No. 25-005-S | Thu, 06/05/2025 | Richard Carlesco (CRD#2135988) Order Authorizing Dual Registration Under the Vermont Uniform Securities Act |
| Order | Docket No. 09-075-S | Thu, 04/03/2025 | In re: Douglas J. McCauley and Madison Avenue Securities, LLC |
| Order | Docket No. 23-003-S | Thu, 03/13/2025 | Coinbase Order Rescinding Show Cause Order |
| Order | Docket No. 25-003-S | Tue, 03/11/2025 | Vanguard Consent Order |
| Order | Docket No. 23-002-S | Thu, 02/27/2025 | Stipulation and Consent Order re: Plutus Financial Inc., dba Abra |
| Order | Docket No. 24-17-S | Thu, 12/26/2024 | Frugal Woods Order |
| Order | Docket No. 24-025-S | Mon, 12/23/2024 | Third Eye Associates |
| Order | Docket No. 23-016-S | Fri, 12/20/2024 | Edward D. Jones & Co., L.P., |
| Order | Docket No. 24-016-S | Tue, 09/17/2024 | Stipulation and Consent Order NVIP LLC dba Nomadic Value Partners (CRD# 322633) |
| Order | Docket No. 24-014-S | Wed, 08/14/2024 | Order Authorizing Dual Registration Under the Vermont Uniform Securities Act In Re Dominik M. Tortes and Dalmore Group LLC, and Nortlov |
| Order | Docket No. 23-003-S | Thu, 06/27/2024 | Coinbase Standstill and Tolling Agreement |
| Order | Docket No. 24-002-S | Mon, 01/22/2024 | Order Authorizing Dual Registration Under the Vermont Uniform Securities Act Darraugh Valli, Agent (CRD # 2191309) and Cambridge Investment Research, Inc., Broker (CRD# 39543) et al |
| Order | Docket No. 24-001-S | Mon, 01/22/2024 | Consent Order in Re TradeStation Crypto, Inc. |
| Order | Docket No. 21-050-S | Thu, 12/14/2023 | Judgment and Order in Re Colomont, Inc. and Christopher Santee |
| Order | Docket No. 22-011-S | Mon, 12/11/2023 | Stipulation and Consent Order in Re Thomas M. Chadwick, Chadwick & D'Amato |
| Order | Docket No. 23-22-S | Fri, 12/08/2023 | Order Authorizing Multiple Registration Under VT Uniform Securities Act Thomas Meringolo, Agent (CRD# 4192542) |
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