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Montana State Auditor's Office Securities 2007 Legal Actions

IN THE MATTER OF: EHRENKRANTZ KING NUSSBAUM FINANCIAL SERVICES 135 Crossways Park Drive Woodbury, NY, 11797 a broker-dealer firm; LARRY LUBARSKY, individually and in this capacity as a securities salesperson for Ehrenkrantz King Nussbaum Financial Services; IGOR SIROTA, individually and in this capacity as a securities salesperson for Ehrenkrantz King Nussbaum Financial Services; THOMAS GIUGLIANO, individually and in this capacity as a securities salesperson for Ehrenkrantz King Nussbaum Financial Services; GEORGE TAMBORELLO, individually and in this capacity as a securities salesperson for Ehrenkrantz King Nussbaum Financial Services; GABRIEL IEZZONI, individually and in this capacity as a securities salesperson for Ehrenkrantz King Nussbaum Financial Services; NOTICE OF PROPOSED AGNECY DISCIPLINARY ACTION AND OPPORTUNITY FOR HEARING

IN THE MATTER OF: TTG FINANCIAL SERVICES, Inc., TARA GRAZELY-PFISTER and ROYAL ALLIANCE ASSOCIATES, INC., CONSENT AGREEMENT AND ORDER

IN THE MATTER OF: MARTIN BOWER, Respondent. LEE LYTTON, as Guardian and Conservator of IDA ROSE LYTTON, an Incompetent Person, Intervenor. HEARING EXAMINER'S PROPOSED FINDINGS OF FACT, CONCLUSIONS OF LAW, AND ORDER

IN THE MATTER OF: THE CONCORD EQUITY GROUP, LLC, 485 Rt 1 South, Building C, Suite 210, Iselin NJ 08830 CONCORD EQUITY GROUP ADVISORS, 100 Matawan Road, Matawan, NJ 07747 TEMPORARY CEASE AND DESIST ORDER AND NOTICE OF OPPORTUNITY FOR HEARING

IN THE MATTER OF: TRI ENERGY INC. ("TRI Energy"), H&J ENERGY COMPANY, INC. ("H&J") and MARINA INVESTORS 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 FIRST AMENDED NOTICE OF PROPOSED AGENCY DISCIPLINARY ACTION AND OPPORTUNITY FOR HEARING

IN THE MATTER OF: THE CONCORD EQUITY GROUP, LLC, 485 Rt 1 South, Building C, Suite 210, Iselin NJ 08830 CONCORD EQUITY GROUP ADVISORS, 100 Matawan Road, Matawan, NJ 07747 NOTICE OF PROPOSED AGENCY DISCIPLINARY ACTION AND NOTICE OF 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. CONSENT AGREEMENT

IN THE MATTER OF: RICHARD H. WESTERMAN, individually and in his capacity as a securities salesperson for Raymond James, RAYMOND JAMES FINANCIAL SERVICES, 880 Carillion Parkway, St. Petersburg, FL 33716, NOTICE OF PROPOSED AGENCY DISCIPLINARY ACTION AND OPPORTUNITY FOR HEARING

IN THE MATTER OF: RICHARD H. WESTERMAN, individually and in his capacity as a securities salesperson for Raymond James, RAYMOND JAMES FINANCIAL SERVICES, 880 Carillion Parkway, St. Petersburg, FL 33716, CONSENT AGREEMENT (Westerman)

IN THE MATTER OF: RICHARD H. WESTERMAN, individually and in his capacity as a securities salesperson for Raymond James, RAYMOND JAMES FINANCIAL SERVICES, 880 Carillion Parkway, St. Petersburg, FL 33716, CONSENT AGREEMENT (RJFS)

IN THE MATTER OF: MID-AMERICA ENERGY, INC., a Nevada corporation, 103 Bluegrass Commons Blvd., Hendersonville, TN 37077-0738, GARY MILBY, individually, and in his capacity as President of Mid-America Energy, CLINTON GOFF, individually, and in his capacity as Operations Manager for Mid-America Energy, SY SCHAIKEN, individually, and in his capacity as a salesperson for MID-America Energy TEMPORARY ORDER TO CEASE AND DESIST

IN THE MATTER OF: MID-AMERICA ENERGY, INC., a Nevada corporation, 103 Bluegrass Commons Blvd., Hendersonville, TN 37077-0738, GARY MILBY, individually, and in his capacity as President of Mid-America Energy, CLINTON GOFF, individually, and in his capacity as Operations Manager for Mid-America Energy, SY SCHAIKEN, individually, and in his capacity as a salesperson for MID-America Energy NOTICE OF PROPOSED AGENCY DISCIPLINARY ACTION AND OPPORTUNITY FOR HEARING

IN THE MATTER OF: JAMES A. ANDREWS, JR, individually, 40692 N. Ancona Court, Queen Creek, AZ 85242; INVESTX, Inc., an Arizona corporation, 40692 N. Ancona Court, Queen Creek, AZ 85242 TEMPORARY CEASE AND DESIST ORDER and OPPORTUNITY FOR HEARING

IN THE MATTER OF: JAMES A. ANDREWS, JR, individually, 40692 N. Ancona Court, Queen Creek, AZ 85242; INVESTX, Inc., an Arizona corporation, 40692 N. Ancona Court, Queen Creek, AZ 85242 NOTICE OF PROPOSED AGENCY DISCIPLINARY ACTION AND OPPORTUNITY FOR HEARING

IN THE MATTER OF: JAMES A. ANDREWS, JR, individually, 40692 N. Ancona Court, Queen Creek, AZ 85242; INVESTX, Inc., an Arizona corporation, 40692 N. Ancona Court, Queen Creek, AZ 85242 CONSENT AGREEMENT

IN THE MATTER OF: CASCADE EXPLORATION, INC. CASCADE WATER HOLDINGS, INC. 182 Alec Roy Road, Roundup, MT 59072, Nevada Corporations; GORDON WALTERS, individually, and in his capacity as President and Treasurer of Cascade Exploration, Inc. and President, Treasurer and Director of Cascade Water Holdings, Inc; ANN WALTERS, individually, and in her capacity as Secretary of Cascade Exploration, Inc. and Cascade Water Holdings, Inc; CALVIN STATELEN, individually, and in his capacity as a promoter for Cascade Exploration, Inc. and Cascade Water Holdings, Inc; and DANNY KEGEL, individually, and in his capacity as a promoter for Cascade Exploration, Inc. and Cascade Water Holdings, Inc.NOTICE OF PROPOSED AGENCY DISCIPLINARY ACTION and OPPORTUNITY FOR HEARING

IN THE MATTER OF: CASCADE EXPLORATION, INC. CASCADE WATER HOLDINGS, INC. 182 Alec Roy Road, Roundup, MT 59072, Nevada Corporations; GORDON WALTERS, individually, and in his capacity as President and Treasurer of Cascade Exploration, Inc. and President, Treasurer and Director of Cascade Water Holdings, Inc; ANN WALTERS, individually, and in her capacity as Secretary of Cascade Exploration, Inc. and Cascade Water Holdings, Inc; CALVIN STATELEN, individually, and in his capacity as a promoter for Cascade Exploration, Inc. and Cascade Water Holdings, Inc; and DANNY KEGEL, individually, and in his capacity as a promoter for Cascade Exploration, Inc. and Cascade Water Holdings, Inc.CONSENT AGREEMENT WITH RESPONDENT KEGEL

IN THE MATTER OF: CASCADE EXPLORATION, INC. CASCADE WATER HOLDINGS, INC. 182 Alec Roy Road, Roundup, MT 59072, Nevada Corporations; GORDON WALTERS, individually, and in his capacity as President and Treasurer of Cascade Exploration, Inc. and President, Treasurer and Director of Cascade Water Holdings, Inc; ANN WALTERS, individually, and in her capacity as Secretary of Cascade Exploration, Inc. and Cascade Water Holdings, Inc; CALVIN STATELEN, individually, and in his capacity as a promoter for Cascade Exploration, Inc. and Cascade Water Holdings, Inc; and DANNY KEGEL, individually, and in his capacity as a promoter for Cascade Exploration, Inc. and Cascade Water Holdings, Inc.CONSENT AGREEMENT WITH RESPONDENT STATELEN

IN THE MATTER OF: MDM ENERGY, 14683 Midway Road, Suite 200, Addison, TX 75001, SAM FURO, individually and in his capacity as Associate Vice President for MDM Energy, and MICHAEL RAFAEL, individually, and in his capacity as Chairman and Chief Executive Officer for MDM Energy CONSENT AGREEMENT

IN THE MATTER OF: TROY ALLEN BRUCE, individually, and in his capacity as a registered securities salesperson and investment adviser representative. CONSENT AGREEMENT

IN THE MATTER OF: RUSSELL MILLARD SQUIRE, III, individually, and in his capacity as a registered securities salesperson. CONSENT AGREEMENT

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