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CSI Securities 2005 Legal Actions

In the Matter of:  Brecek & Young Advisors Inc. * C-09-27-05-054

  Consent Agreement and Final Order  

In the Matter of: Deutsche Bank Securities Inc. * 05-17-05-144-I * SEC-2009-39

Consent Agreement and Final Order (2005) Consent Agreement and Final Order (2009)

In the Matter of: End Child Hunger Inc. * I-11-29-05-152

Notice of Proposed Agency Action and Opportunity for Hearing Consent Agreement and Order to Permanently Cease and Desist

In the Matter of: Ryan Beck & Company * C-08-31-05-052

  Notice of Proposed Agency Action Consent Agreement and Final Order

In the Matter of: Summitt Brokerage Services * 08-09-05-148-I

Notice of Proposed Agency Action Consent Agreement - Stanton
  Consent Agreement - Lorenzo Consent Agreement and Final Order

In the Matter of: Sure Foundation International Inc. * 03-28-05-141-I

Cease and Desist (amended)  

In the Matter of: Texas Encore Materials Inc. * 08-29-05-I

Proposed Agency Action  

In the Matter of: Tri-Energy Inc. * 445-04

Notice of Proposed Agency Action Amended Notice of Proposed Agency Action
  Consent Agreement and Final Order  

In the Matter of: Waddell & Reed Inc. * 03-31-05-142-I

Notice of Proposed Agency Action Consent Agreement and Final Order