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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: Constellation Wealth Advisor, LLC* SEC-2010-158

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: Trent Horswill * SEC-2010-67

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  

In the Matter of: Arthur Leroy Heffelfinger * 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: Edward Jones and Compnay * SEC-2010-32

Consent Agreement and Final Order  

In the Matter of: Noble Trading Company * 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  

In the Matter of: Securities America * SEC-2010-38

Temporary Cease and Desist Order Notice of Proposed Agency Action

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