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CSI Legal Actions

Legal

CSI Securities 2010 Legal Actions

*In the Matter of: ACN Incorporated SEC-2010-82**
	Proposed Action	Temporary Cease and Desist
	Motions to Vacate	Order on Motions to Vacate

*In the Matter of: Bankers Life and Casualty Company and BLC Financial Services, Inc. SEC-2010-240**
	Administrative Consent Order

*In the Matter of: Constellation Wealth Advisor, LLC SEC-2010-158**
	Consent Agreement and Final Order

*In the Matter of: Edward Jones and Company SEC-2010-32**
	Consent Agreement and Final Order

*In the Matter of: Financial Assets Corporation SEC-2010-07**
	Consent Agreement and Final Order

*In the Matter of: Fortune Hi-Tech Marketing Inc. SEC-2010-12**
	Cease and Desist	Proposed Action
	Consent Agreement and Final Order

*In the Matter of: Goldman Saachs and Company SEC-2010-43**
	Administrative Consent Order

*In the Matter of: Hancock Securities Group, LLC SEC-2010-67**
	Consent Agreement and Final Order

*State of Montana v. Arthur Leroy Heffelfinger CDC-2010-21 * SEC-2010-37**
	Findings of Fact, Conclusions of Law and Order	Notice to Appear
	Motion for Leave to File Information	Affadavit in Support of Leave to File Information
	Amended Information Signed	Order Granting Leave to Submit Amended Information
	State's Brief in Support of Amended Information	Motion for Leave to File Amended Information
	Consent Agreement and Final Order	Judgment and Commitment

*In the Matter of: Trent Horswill SEC-2010-67**
	Consent Agreement and Final Order

*Investment Company Institute v. Monica Lindeen, State Auditor BDV-2010-1122 * SEC-2010-136**
	Complaint for Declaratory Judgment	Order on Request for Declaratory Judgment

*In the Matter of: Robert Ross Koostra, First Fidelity Financial Group of Central Montana, LLC, Fidelity First Financial Group, LLC SEC-2009-56**
	Consent Agreement and Final Order

*In the Matter of: Dennis Minemyer SEC-2010-74**
	Consent Agreement and Final Order

*In the Matter of: Nobletrading.com SEC-2010-07**
	Consent Agreement and Final Order

*In the Matter of: Oak Wood Plaza, LLC SEC-2010-38**
	Amicus Curiae to Montana Supreme Court

*State of Montana v. Terry D. Parks DC-10-371 SEC-2010-72*
	Motion & Affidavit for Order Granting Leave to File Amended Information	Order Finding Probable Cause
	Amended Information	Judgment

*In the Matter of: Securities America SEC-2010-48**
	Temporary Cease and Desist Order	Notice of Proposed Agency Action
	Consent Agreement and Final Order	Gregg Sautter, Consent Agreement

*In the Matter of: Stifel, Nicolaus and Company SEC-2010-25**
	Administrative Consent Order

*In the Matter of: UBS Securities and UBS Financial Services SEC-2010-39**
	Administrative Consent Order

*In the Matter of: Wells Fargo Investments SEC-2010-24**
	Administrative Consent Order

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