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Montana State Auditor's Office Securities 2006 Legal Actions

IN THE MATTER OF: TROY ALLEN BRUCE, individually and in his capacity as a registered securities salesperson and investment adviser representative, NOTICE OF PROPOSED AGENCY DISCIPLINARY ACTION and OPPORTUNITY FOR HEARING

IN THE MATTER OF: UBS Financial Services, Inc.CONSENT AGREEMENT

IN THE MATTER OF: NICHOLAS RICHARD CLADIS, individually and in his capacity as a registered securities salesperson and investment adviser representative, CONSENT AGREEMENT

IN THE MATTER OF: NICHOLAS RICHARD CLADIS, individually and in his capacity as a registered securities salesperson and investment adviser representative, NOTICE OF PROPOSED AGENCY DISCIPLINARY ACTION and OPPORTUNITY FOR HEARING

IN THE MATTER OF: PATRICK PHILLIP DAVISON, individually and in his capacity as agent/owner of DAVISON, LLC, and P & N VENTURES d/b/a PPV, all of Billings, Montana; FIRST AMENDED NOTICE OF PROPOSED AGENCY DISCIPLINARY ACTION and OPPORTUNITY FOR HEARING

IN THE MATTER OF: PATRICK PHILLIP DAVISON, individually and in his capacity as agent/owner of DAVISON, LLC, and P & N VENTURES d/b/a PPV, all of Billings, Montana; NOTICE OF PROPOSED AGENCY DISCIPLINARY ACTION and OPPORTUNITY FOR HEARING

IN THE MATTER OF: PATRICK PHILLIP DAVISON, individually and in his capacity as agent/owner of DAVISON, LLC, and P & N VENTURES d/b/a PPV, all of Billings, Montana; TEMPORARY CEASE AND DESIST ORDER

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 AND John and Jane Does, 1-4; NOTICE OF PROPOSED AGENCY DISCIPLINARY ACTION AND OPPORTUNITY FOR HEARING

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; CONSENT AGREEMENT

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; CONSENT AGREEMENT

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, ROBIN BUSH individually and in her capacity as CCO for Summit and John and Jane Does, 1-4; CONSENT AGREEMENT

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; CONSENT AGREEMENT

IN THE MATTER OF: RANDALL G. KNOWLES, and FSC SECURITIES CORPORATION, CORRECTED FINDINGS OF FACT, CONCLUSIONS OF LAW, AND ORDER AND NOTICE OF OPPORTUNITY FOR JUDICIAL REVIEW

IN THE MATTER OF: QUADRA PAY LAND, LLC Adams & Ewing, LLC (registered agents) 3225 McLeod Drive, Suite 110 Las Vegas, NV 89121, EAVENSON FAMILY, LP, MICHAEL EAVENSON, general partner EDITH ODELL EAVENSON, general partner, KUHN FAMILY, LLP (registered agents) CHARLES KUHN, general partner, and WILLIAM KUHN, general partner. CONSENT AGREEMENT AND ORDER

IN THE MATTER OF: PIPER JAFFRAY & CO. 800 Nicollet Mall Minneapolis, MN, 55402-7020, A Broker-Dealer firm; ROBERT W. ENGLISH, individually and in his capacity as a salesperson for Piper Jaffray & Co., and MARGIE K. AGUIRRE, individually and in her capacity as a salesperson for Piper Jaffray & Co,; CONSENT AGREEMENT

IN THE MATTER OF: BART MURNION, in his capacity as a Montana registered securities salesperson for Prudential Financial, and KAIA MURNION, CONSENT AGREEMENT

IN THE MATTER OF: RUSSELL MILLARD SQUIRE, III, individually and in his capacity as a securities salesperson, NOTICE OF PROPOSED AGENCY DISCIPLINARY ACTION AND OPPORTUNITY FOR HEARING

IN THE MATTER OF: RUSSELL MILLARD SQUIRE, III, individually and in his capacity as a securities salesperson, TEMPORARY CEASE AND DESIST ORDER and ORDER DENYING APPLICATION FOR REGISTRATION

IN THE MATTER OF: QUADRA PAY LAND, LLC Adams & Ewing, LLC (registered agents) 3225 McLeod Drive, Suite 110 Las Vegas, NV 89121, EAVENSON FAMILY, LP, MICHAEL EAVENSON, general partner EDITH ODELL EAVENSON, general partner, KUHN FAMILY, LP, ADAMS & EWING, LLP (registered agents) CHARLES KUHN, general partner, and WILLIAM KUHN, general partner. ORDER FOR DEFAULT AND PERMANENT CEASE AND DESIST ORDER

IN THE MATTER OF: AMERIPLAN USA CORPORATION, 5700 DEMOCRACY DRIVE, PLANO, TEXAS, 75024, A Discount Health Care Card provider; DENNIS BLOOM, individually and in his capacity as CEO for AMERIPLAN; DANIEL BLOOM, individually and in his capacity as Director for AMERIPLAN; and SHIRL SHELLEY, individually and in her capacity as a broker and regional sales representative for AMERIPLAN, and JOHN AND JANE DOES 1-370; TEMPORARY CEASE AND DESIST ORDER AND OPPORTUNITY FOR HEARING

IN THE MATTER OF: AMERIPLAN USA CORPORATION, 5700 DEMOCRACY DRIVE, PLANO, TEXAS, 75024, A Discount Health Care Card provider; DENNIS BLOOM, individually and in his capacity as CEO for AMERIPLAN; DANIEL BLOOM, individually and in his capacity as Director for AMERIPLAN; and SHIRL SHELLEY, individually and in her capacity as a broker and regional sales representative for AMERIPLAN, and JOHN AND JANE DOES 1-370; NOTICE OF PROPOSED AGENCY DISCIPLINARY ACTION AND OPPORTUNITY FOR HEARING

IN THE MATTER OF: AMERIPLAN USA CORPORATION, 5700 DEMOCRACY DRIVE, PLANO, TEXAS, 75024, A Discount Health Care Card provider; DENNIS BLOOM, individually and in his capacity as CEO for AMERIPLAN; DANIEL BLOOM, individually and in his capacity as Director for AMERIPLAN; and SHIRL SHELLEY, individually and in her capacity as a broker and regional sales representative for AMERIPLAN, and JOHN AND JANE DOES 1-370; CONSENT AGREEMENT

IN THE MATTER OF: BERNARD M. KOMER, and CITIGROUP GLOBAL MARKETS INC., CONSENT AGREEMENT AND ORDER

IN THE MATTER OF: BERNARD M. KOMER, and CITIGROUP GLOBAL MARKETS INC., CONSENT AGREEMENT AND ORDER

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