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CSI Legal Actions

Legal

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**
	Consent Agreement and Final Order

*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

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