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UVest Financial Services Group, Inc.

Friday, February 8, 2013
Docket No. 13-001-S
UVEST Consent Order.pdf322.51 KB

Summary: As a result of its relationship with Banker’s Life & Company, UVEST has materially aided an act, practice or course of business constituting a violation of Vermont Uniform Securities Act (2002) or a rule adopted or order issued thereunder, and such conduct is grounds for an order imposing sanctions under 9 V.S.A § 5604.