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CSI Securities 2009 Legal Actions

In the Matter of: TD Ameritrade, Inc. * SEC-2009-58

Consent Agreement and Final Order  

In the Matter of: Banc of America Securities, LLC * SEC-2009-20

Consent Agreement and Final Order  

State of Montana v. Donald Chouinard * DC-09-576B

Information Motion for Leave to File Information and Affadavit in Support
  Judgment and Sentence  

In the Matter of: Donald Chouinard, DC Wealth Management, Inc., DC Associates, Inc. * SEC-2009-46

  Proposed Agency Action Temporary Cease and Desist
Notice of Dismissal without Prejudice

In the Matter of: Citigroup Global Markets, Inc. * SEC-2009-4

Consent Agreement and Final Order  

In the Matter of: Cornerstone Financial (Keith Kovick)* CDV-2009-157 * ADV-2009-157 * SEC-2009-6

Order Order Granting Stipulated Preliminary Injunction
  Temporary Restraining Order Unopposed Motion to Continue Hearing
  Order Continuing Show Cause Hearing Notice of Supplementation to Asset List
  Notice of Proposed Action Order to Vacate and Reset Hearing to Amend TRO
  Petition for Injunctive Relief Motion to Appoint a Receiver
  Notice of Claims Submittal Process Consent Agreement and Final Order RE: Robert J. Congdon
  Final Agency Decision and Order

In the Matter of: Credit Suisse Securities (USA), LLC * SEC-2009-59

Consent Agreement and Final Order  

In the Matter of: DBSI, Inc. * 08-12687

Motion by Idaho Department of Finance to Appoint a Bankrupty Examiner  

In the Matter of: Duetsche Bank Securities, Inc. * SEC-2009-39

Consent Agreement and Final Order  

In the Matter of: Donald A. Garberg * 07-31-09-316C

  Consent Agreement and Final Order  

In the Matter of: Robert Ross Koostra, First Fidelity Financial Group of Central Montana, LLC, Fidelity First Financial Group, LLC * SEC-2009-56

  Notice of Proposed Action Temporary Cease and Desist
Consent Agreement and Final Order  

In the Matter of: KMS Financial Services * SEC-2009-73

Consent Agreement and Final Order  

In the Matter of: LPL Financial Corporation * SEC-2009-46

Consent Agreement and Final Order  

In the Matter of: Merrill Lynch, Pierce, Fenner & Smith * SEC-2009-29

Consent Agreement and Final Order (Auction Rate Securities)  

In the Matter of: Merrill Lynch, Pierce, Fenner & Smith * SEC-2009-78

Consent Agreement and Final Order (Registration Violation)

In the Matter of: JP Morgan Chase and Company * SEC-2009-38

Consent Agreement and Final Order  

In the Matter of: Sean M. Morgan * 07-31-09-316C

Consent Agreement and Final Order  

In the Matter of: ShareValue, Inc. and Richard F. Reynolds * SEC-2009-37

Proposed Agency Action Temporary Cease and Desist Order

In the Matter of: Ronald Moschetta and Strasbourger, Pearson, Tulcin, Wolff, Inc. * SEC-2009-14

  Notice of Proposed Agency Disciplinary Action Amended Notice of Proposed Agency Disciplinary Action
  Verified Petition for Judicial Review of Final Action Final Agency Decision and Order
Consent Agreement and Order Order on Motion for Summary Judgment
  Motion for Adoption of Consent Agreement Consent Agreement
  Final Order  

In the Matter of: Next Financial Group * SEC-2009-89

Notice of Proposed Agency Action Temporary Cease and Desist
  Final Agency Decision  

In the Matter of: Prosper Marketplace * SEC-2009-26

Consent Agreement and Final Order  

In the Matter of: RBC Capital Markets Corporation * SEC-2009-34

Consent Agreement and Final Order  

In the Matter of: Wachovia Securities, LLC * SEC-2009-5

Consent Agreement and Final Order  

In the Matter of: Wexl Financial * 03-16-09-2841

Consent Agreement and Final Order