Regulatory Alerts2026-06-18
Added · Updated
Default Judgment and Order in re: Mercury Capital Advisors, LLC
The Vermont Department of Financial Regulation entered a default judgment against Mercury Capital Advisors, LLC due to the firm's failure to respond to a petition for revocation of its broker-dealer registration. The Commissioner revoked the registration effective immediately, citing the respondent's expulsion from FINRA, bankruptcy proceedings, and failure to file required reports. The order exhausts administrative remedies, allowing the respondent to appeal to the Vermont Supreme Court within 30 days.
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