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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 2012 Legal Actions

In the Matter of: Bankers Life and Casualty Company and BLC Inc. * SEC-2012-240

Administrative Consent Order  

In the Matter of: Rodney Casey * SEC-2012-300

Consent Agreement and Final Order  

In the Matter of: Delano & Morgenroth Investment Advisors, LLC * SEC-2012-299

Consent Agreement and Final Order  

In the Matter of: The Registration Application of Doley Securities, LLC * SEC-2012-118

Motion for Order Denying Registration Application Findings of Fact, Conclusions of Law, Order, and Notice of Opportunity for Hearing

In the Matter of: Funky Shark, LLC, and Scott R. Wacker * DDV-2012-951 * SEC-2012-260

Temporary Restraining Order and Order to Show Cause Consent Agreement

In the Matter of: James D. Helgeson * SEC-2012-245

Consent Agreement and Final Order  

In the Matter of: Lawson Financial Corporation * SEC-2012-242

Consent Agreement and Final Order  

In the Matter of: LPL Financial LLC * SEC-2012-144

Consent Agreement and Final Order  

In the Matter of: Kelly John Nelson (RBC Capital Markets, LLC) * SEC-2012-164

Consent Agreement and Final Order (RBC Capital Markets) Consent Agreement

In the Matter of: ProEquities, Inc. * SEC-2012-220

Administrative Consent Order

The State v. Richard F Reynolds, a/k/a Richard F. Adkins * DV-12-152C

Order Granting Leave to File Information Information
  Temporary Restraining Order Affidavit of Probable Cause
  Preliminary Injunction Order Motion for Leave to File Amended Information
  Amended Information Affidavit of Probable Cause and Motion for Leave to File Amended Information
  Order Granting Leave to File Second Amended Information Second Amended Information
  Verdict  

In the Matter of: Stewart & Associates * SEC-2012-304

Consent Agreement and Final Order  

In the Matter of: Brete Thibeault * SEC-2012-298

Consent Agreement and Final Order  

In the Matter of: UVest Financial Services Group * SEC-2010-243

Administrative Consent Order