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Commissioner's Corner

Office of the Commissioner of Securities and Insurance
840 Helena Ave.
Helena, Montana 59601
(800) 332-6148
(406) 444-2040


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