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Montana State Auditor's Office Securities 2005 Legal Actions

IN THE MATTER OF: L.H. ROSS & COMPANY, INC., 2255 Glades Road, Suite 425 W Boca Raton, FL, 33431; A Broker-Dealer firm registered in Montana; SEAN RYAN, in his capacity as a Montana registered sales person for L.H. Ross; JOHN DABAL, in his capacity as a Montana registered sales person for L.H. Ross; DAMIEN MAGGIO, in his capacity as a Montana registered sales person for L.H. Ross; PETER MIRENDA, in his capacity as a Montana registered sales person for L.H. Ross; and KRISTIAN SIERP, in the capacity as a Montana registered sales person for L.H. Ross. MOTION FOR AND ORDER OF DEFAULT

IN THE MATTER OF: SUMMIT BROKERAGE SERVICES, INC. 980 N. Federal Highway Boca Raton, FL 33432; GREG LORENZO, individually and in his capacity as a broker-dealer salesperson, MICHAEL STANTON, individually and in his capacity as a Summit branch manager, ARNOLD ROSEMAN, individually and in his capacity as CCO for Summit; NOTICE OF PROPOSED AGENCY DISCIPLINARY ACTION AND OPPORTUNITY FOR HEARING

IN THE MATTER OF: SURE FOUNDATION INTERNATIONAL, INC., REBECCA JENSEN and JON TOLMAN JENSEN, their agents and representative, INTERNATIONAL BUSINESS EDUCATION ASSOCIATION, JACQUELINE ANN LARGENT, JASON MICHAEL WRIGHT, ROBERT LEE HARDIN, JR., FRANK WILLIAMS, and John and/or Jane Does 1-196, CEASE AND DESIST ORDER (AMENDED)

IN THE MATTER OF: Texas Encore Materials, Inc. (aka TEM Corporation) and Mark Hungerford NOTICE OF PROPOSED AGENCY ACTION AND OPPORTUNITY FOR HEARING

IN THE MATTER OF: TRI ENERGY INC.("TRI Energy"), H&J ENERGY COMPANY, INC.("H&J") and MARINA INVESTOR GROUP ("Marina"), and their agents and representatives including Robert Jennings, Arthur Simburg, Lowell Decker, Thomas Avery, Henry Jones, Debbie Loveless and John and Jane Does 1-10 ORDER TO CEASE AND DESIST AND NOTICE OF PROPOSED AGENCY ACTION

IN THE MATTER OF: RYAN BECK & CO.,220 South Orange Ave., Livingston, New Jersey 07039, A broker-Dealer firm; RYAN BECK LIFE AGENCY, INC., 650 Madison Ave. 10th Floor, New York, New York 10022, An Insurance Agency; STEVEN GROSSMAN, individually and in his capacity as a salesperson for Ryan Beck & Co. and as an insurance producer affiliate for Ryan Beck Life Agency; RALPH FREYDBERG, individually and in his capacity as a branch ;manager for Ryan Beck & Co.; and John and Jane Does 1-5; NOTICE OF PROPOSED AGENCY DISCIPLINARY ACTION AND OPPORTUNITY FOR HEARING

IN THE MATTER OF: WADDELL & REED, INC., 6300 LAMAR AVENUE, OVERLAND PARK, KS, 66202, A Broker -Dealer firm registered in Montana and a federally covered Investment Advisor firm notice file in Montana; ROBERT HECHLER, Individually and in his capacity as President, CEO and CFO for WADDELL & REED; ROBERT WILLIAMS, individually and in his capapcity as Executive Vice President and National Sales Director for WADDELL & REED; and WILLIAM JELINEK, individually and in his capacity a financial advisor, MICHAEL COSTLE, individually and in his capacity a financial advisor, CHARLES GRIFFITH, individually and in his capacity a financial advisor, MICHAEL ERICKSON, individually and in his capacity a financial advisor, PATRICIA MATTHEW, individually and in her capacity a financial advisor, KEVIN FREDENBERG, individually and in his capacity a financial advisor, BRYAN THIES, individually and in his capacity a financial advisor, WILLIAM SOLOMON, individually and in his capacity a financial advisor, KRISTINE VOOHEES, individually and in her capacity a financial advisor, JUDY RIESENBERG, individually and in her capacity a financial advisor, CHRISTOPHER FABER, individually and in his capacity a financial advisor, WILLARD FLADAGER, individually and in his capacity a financial advisor, THOMAS TILLEMAN, individually and in his capacity a financial advisor, GREGORY SCHMAUTZ, individually and in his capacity a financial advisor, VANCE BENNETT, individually and in his capacity a financial advisor, ROBERT A. SMITH, individually and in his capacity a financial advisor, THOMAS ADOLPH, individually and in his capacity a financial advisor, BRIAN LETHERT, individually and in his capacity a financial advisor, ALBERT MARTINEZ, individually and in his capacity a financial advisor, DANNY BERG, individually and in his capacity a financial advisor, EILEEN ASHWAL, individually and in her capacity a financial advisor, JASON RENSKERS, individually and in his capacity a financial advisor, MICHAEL BENTZ, individually and in his capacity a financial advisor, THOMAS AGNEW, individually and in his capacity a financial advisor, JAYLA FROST, individually and in her capacity a financial advisor, GUS SHARP, individually and in his capacity a financial advisor, JUDITH SEAMAN, individually and in her capacity a financial advisor, and R. RAMONA SMITH, individually and in her capacity a financial advisor, NOTICE OF PROPOSED AGENCY DISCIPLINARY ACTION AND OPPORTUNITY FOR HEARING

IN THE MATTER OF: WADDELL & REED, INC., 6300 LAMAR AVENUE, OVERLAND PARK, KS, 66202, A Broker -Dealer firm registered in Montana and a federally covered Investment Advisor firm notice file in Montana; ROBERT HECHLER, Individually and in his capacity as President, CEO and CFO for WADDELL & REED; ROBERT WILLIAMS, individually and in his capapcity as Executive Vice President and National Sales Director for WADDELL & REED; and WILLIAM JELINEK, individually and in his capacity a financial advisor, MICHAEL COSTLE, individually and in his capacity a financial advisor, CHARLES GRIFFITH, individually and in his capacity a financial advisor, MICHAEL ERICKSON, individually and in his capacity a financial advisor, PATRICIA MATTHEW, individually and in her capacity a financial advisor, KEVIN FREDENBERG, individually and in his capacity a financial advisor, BRYAN THIES, individually and in his capacity a financial advisor, WILLIAM SOLOMON, individually and in his capacity a financial advisor, KRISTINE VOOHEES, individually and in her capacity a financial advisor, JUDY RIESENBERG, individually and in her capacity a financial advisor, CHRISTOPHER FABER, individually and in his capacity a financial advisor, WILLARD FLADAGER, individually and in his capacity a financial advisor, THOMAS TILLEMAN, individually and in his capacity a financial advisor, GREGORY SCHMAUTZ, individually and in his capacity a financial advisor, VANCE BENNETT, individually and in his capacity a financial advisor, ROBERT A. SMITH, individually and in his capacity a financial advisor, THOMAS ADOLPH, individually and in his capacity a financial advisor, BRIAN LETHERT, individually and in his capacity a financial advisor, ALBERT MARTINEZ, individually and in his capacity a financial advisor, DANNY BERG, individually and in his capacity a financial advisor, EILEEN ASHWAL, individually and in her capacity a financial advisor, JASON RENSKERS, individually and in his capacity a financial advisor, MICHAEL BENTZ, individually and in his capacity a financial advisor, THOMAS AGNEW, individually and in his capacity a financial advisor, JAYLA FROST, individually and in her capacity a financial advisor, GUS SHARP, individually and in his capacity a financial advisor, JUDITH SEAMAN, individually and in her capacity a financial advisor, and R. RAMONA SMITH, individually and in her capacity a financial advisor, CONSENT AGREEMENT

THE MATTER OF DEUTSCHE BANK SECURITIES, INC.. CONSENT AGREEMENT AND ORDER

IN THE MATTER OF END CHILD HUNGER INC. their agents and representatives TYSON WILLIAMS, individually; and John and/or Jane Does 1-52, NOTICE OF PROPOSED AGENCY ACTION AND OPPORTUNITY FOR HEARING

IN THE MATTER OF: BRECEK & YOUNG ADVISORS, INC., 1110 Iron Point Road, Ste. 100, Folsom, CA 95763, A Registered Broker-Dealer Firm and, Federally Covered Advisor, DANIEL CHAMBERLIN, individually and in his capacity as a securities salesperson; CONSENT AGREEMENT and ORDER

IN THE MATTER OF: MONTANA HEDGE PARTNERS, LP and ROBERT M. SEAMONS, CONSENT AGREEMENT AND ORDER

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