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Montana State Auditor's Office Securities 2008 Legal Actions

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.ORDER (RE: MOTION FOR SUMMARY JUDGMENT)

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 CONSENT AGREEMENT RE: RESPONDENT CONCORD EQUITY GROUP, LLC

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 CONSENT AGREEMENT RE: RESPONDENT CONCORD EQUITY GROUP ADVISORS

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 HEARING EXAMINER'S PROPOSED FINDINGS OF FACT, CONCLUSIONS OF LAW, AND ORDER

IN THE MATTER OF: GLOBAL SPORTS MARKETING CORPORATION, dba, GLOBAL BROADCAST DIGITAL NETWORK 112 Glenn Oak Road, Norristown, PA 19403-2927, WAYNE DERRICK BUTLER, Individually and in his capacity as CEO for Global Sports Marketing, Inc., and CRAIG STEEN, individually and in his capacity as Chairman of the Board for Global Sports Marketing, TEMPORARY CEASE AND DESIST ORDER AND NOTICE OF OPPORTUNITY FOR HEARING

IN THE MATTER OF: GLOBAL SPORTS MARKETING CORPORATION, dba, GLOBAL BROADCAST DIGITAL NETWORK 112 Glenn Oak Road, Norristown, PA 19403-2927, WAYNE DERRICK BUTLER, Individually and in his capacity as CEO for Global Sports Marketing, Inc., and CRAIG STEEN, individually and in his capacity as Chairman of the Board for Global Sports Marketing, NOTICE OF PROPOSED AGENCY DISCIPLINARY ACTION AND OPPORTUNITY FOR HEARING

IN THE MATTER OF: LEO LAPITO CONSENT AGREEMENT

IN THE MATTER OF: MORGAN STANLEY & CO. INCORPORATED, RESPONDENT. FINDINGS OF FACT CONCLUSION OF LAW CONSENT ORDER

IN THE MATTER OF: CARUBA INTERNATIONAL BUSINESS CORP. 111 N. Pine Island Road, Suite 20 Plantation, FL 33324, TRADEWINDS HOLDING COMPANY, P.O. Box 3067, Piedra Plat, Oranjestad Aruba Dutch Caribbean, THE JUST FOUNDATION 2625 Keystone Road, Suite A-3, Tarpon Springs, FL 34688, LINDA RIPKA, GARY NELSON, IVAN SHEW-A-TJON, TEMPORARY CEASE AND DESIST ORDER AND NOTICE OF OPPORTUNITY FOR HEARING

IN THE MATTER OF: CARUBA INTERNATIONAL BUSINESS CORP. 111 N. Pine Island Road, Suite 20 Plantation, FL 33324, TRADEWINDS HOLDING COMPANY, P.O. Box 3067, Piedra Plat, Oranjestad Aruba Dutch Caribbean, THE JUST FOUNDATION 2625 Keystone Road, Suite A-3, Tarpon Springs, FL 34688, LINDA RIPKA, GARY NELSON, IVAN SHEW-A-TJON, NOTICE OF PROPOSED AGENCY DISCIPLINARY ACTION AND OPPORTUNITY FOR HEARING

IN THE MATTER OF: ROTHSCHILD INVESTMENT CORP. 311S. Wacker Drive, Suite 6500, Chicago, IL 60606, DONALD ROSEEN, individually and in his capacity acting as a broker-dealer salesperson and investment advisor representative, JOHN B. WELCH, individually and in his capacity acting as a broker-dealer salesperson and investment advisor representative, DALE R. BONGA, individually and in his capacity acting as a broker-dealer salesperson and investment advisor representative, BART R. BONGA, individually and in his capacity acting as a broker-dealer salesperson and investment advisor representative, CONSENT AGREEMENT AND ORDER

IN THE MATTER OF: ROTHSCHILD INVESTMENT CORP. 311S. Wacker Drive, Suite 6500, Chicago, IL 60606, DONALD ROSEEN, individually and in his capacity acting as a broker-dealer salesperson and investment advisor representative, JOHN B. WELCH, individually and in his capacity acting as a broker-dealer salesperson and investment advisor representative, DALE R. BONGA, individually and in his capacity acting as a broker-dealer salesperson and investment advisor representative, BART R. BONGA, individually and in his capacity acting as a broker-dealer salesperson and investment advisor representative, TEMPORARY CEASE AND DESIST ORDER AND NOTICE OF OPPORTUNITY FOR HEARING

IN THE MATTER OF: ROTHSCHILD INVESTMENT CORP. 311S. Wacker Drive, Suite 6500, Chicago, IL 60606, DONALD ROSEEN, individually and in his capacity acting as a broker-dealer salesperson and investment advisor representative, JOHN B. WELCH, individually and in his capacity acting as a broker-dealer salesperson and investment advisor representative, DALE R. BONGA, individually and in his capacity acting as a broker-dealer salesperson and investment advisor representative, BART R. BONGA, individually and in his capacity acting as a broker-dealer salesperson and investment advisor representative, NOTICE OF PROPOSED AGENCY DISCIPLINARY ACTION AND OPPORTUNITY FOR HEARING

IN THE MATTER OF: STYLE N'TILE INTERNATIONAL, INC. 8250 Highway 35, P.O. Box 2888, Big Fork, MT 59911 FREDERICK "FRITZ" KECK, individually and in his capacity as an unregistered broker-dealer salesperson, SYDNEE KECK, individually and in her capacity acting as an unregistered broker-dealer salesperson , LOUISE TIDWELL, individually and in her capacity acting as an unregistered broker-dealer salesperson, JAMES COOLIDGE, individually and in his capacity acting as an unregistered broker-dealer salesperson, NOTICE OF PROPOSED AGENCY DISCIPLINARY ACTION AND OPPORTUNITY FOR HEARING

IN THE MATTER OF: STYLE N'TILE INTERNATIONAL, INC. 8250 Highway 35, P.O. Box 2888, Big Fork, MT 59911 FREDERICK "FRITZ" KECK, individually and in his capacity as an unregistered broker-dealer salesperson, SYDNEE KECK, individually and in her capacity acting as an unregistered broker-dealer salesperson , LOUISE TIDWELL, individually and in her capacity acting as an unregistered broker-dealer salesperson, JAMES COOLIDGE, individually and in his capacity acting as an unregistered broker-dealer salesperson, TEMPORARY CEASE AND DESIST ORDER AND NOTICE OF OPPORTUNITY FOR HEARING

IN THE SUPREME COURT OF THE STATE OF MONTANA RANDALL G. KNOWLES, Appellee and Petitioner, v. STATE OF MONTANA, ex rel. JOHN MORRISON, Montana State Auditor and Ex-officio Commissioner of Securities, Appellant and Respondent. BRIEF OF APPELLANT

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; CONSENT AGREEMENT RE: LARRY LUBARSKY

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; CONSENT AGREEMENT RE: IGOR SIROTA

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