Montana State Auditor's Office

Montana State Auditor's Office Securities 2003 Legal Actions

• IN THE MATTER OF:  U.S. Bancorp Piper Jaffray Inc,; Thomas J. O'Neill, Robert English, Charles Robert Lowry; Andrew William Dunleavy; Brian Hellberg, Richard Troy Chase; Andrew Scott Duff; Addison Lewis Piper; Joseph Daniel Fleming; Paul Peter Karos; David Wood MacLennan; James Louis Chosy; Sandra Gay Sponem; and Ross Eugene Rogers  CONSENT AGREEMENT

• IN THE MATTER OF:  US BANCORP PIPER JAFFRAY, 800 NICOLLET MALL, MINNEAPOLIS, MN 55402-7020, A Broker-Dealer firm registered in Montana;  THOMAS J. O'NEILL, Individually and in his capacity as a sales person for Piper Jaffray;  ROBERT ENGLISH, Individually and in this capacity As Branch Manager for Piper Jaffray;  CHARLES ROBERT LOWRY, Individually and in his capacity as Sales Supervisor; ANDREW WILLIAM DUNLEAVY, Individually and in his capacity as Regional Director; BRIAN HELLBERG, Individually and in his capacity as Assistant Vice President and Assistant General Counsel; ROY TROY CHASE, Individually and in his capacity as a member of the Management Committee;  ADDISON LEWIS PIPER, Individually and in his capacity as Chairman of the Board, a Director and member of the Management Committee; JOSEPH DANIEL FLEMING, Individually and in his capacity as Chief Compliance Officer; PAUL PETER KAROS, Individually and in his capacity as a Director and Member of the Management Committee;  DAVID WOOD MACLENNAN, Individually and in his capacity as a Director and member of the Management Committee;  JAMES LOUIS CHOSY, Individually and in his capacity as Chief Legal Officer; SANDRA GAY SPONEM, Individually and in her Capacity as a member of the Management Committee;  ROSS EUGENE ROGERS, Individually and in his Capacity as a member of the Management Committee; and JOHN and JANE DOES, 1-15;  CONSENT AGREEMENT

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