Consumer Information

Industry Information

News

Commissioner's Corner

CSI Legal Actions
Legal
CSI Securities 2011 Legal Actions

The State v. James "Jeb" Bryant * SEC-2011-44B * DC-11-116

Motion for Leave to File Information and Affidavit in Support Information
  Order Granting Leave to File Information Bench Warrant
  Motion to Amend Bench Warrant Issued for James Bryant Brief in Support of Motion to Amend Bench Warrant Issued for James Bryant
  Amended Bench Warrant Motion to Quash Bench Warrant Issued September 27, 2011
  Order Quashing Bench Warrant Motion to Quash Bench Warrant Issued September 9, 2013
  Order Quashing Bench Warrant Motion to Issue Bench Warrant for Defendant
  Bench Warrant  

In the Matter of: Donald Chouinard * SEC-2011-136

Consent Agreement and Final Order  

In the Matter of: Capwealth Investment Services * SEC-2011-206

Consent Agreement and Final Order  

In the Matter of: E*Trade Securities, LLC. * SEC-2011-356

Amended Consent Order  

In the Matter of: Christopher Faber, CRD #3009187 * SEC-2011-178

Consent Agreement and Final Order  

In the Matter of: Richard A. Hill v. Jack Ray Sauther * DA 10-0359

Motion for Leave to Appear Amicus Curiae Brief of Amicus Curiae

State of Montana v Harris Himes * DC-11-117 (Montana Twenty-First Judicial District Court, Ravalli County)

    Misdemeanor Minutes of Hearing Motion to Disqualify District Court Judge James A. Haynes for Cause
    Notice and Order (Disqualification Proceedings) Invitation to Assume Jurisdiction
    Order Withdrawing Disqualification Proceedings Notice of Appearance
    Motion for Leave to File Amended Information Amended Information
    Order for Arraignment Order Granting Leave to File Amended Information
    Omnibus Hearing Order Waiver of Extradition (Himes)
    Waiver of Extradition (Court Approval) Waiver of Right to Speedy Trail
    Amended Witness List State's Motion in Limine to Exclude Testimony of Roberta Cross Guns and Brief in Support
    Motion in Limine to Exclude Any and All Testimony of Prior Crimes and/or Bad Acts State's Motion in Limine to Exclude Testimony of Alan Ludwig and Brief in Support
    Response to Defendant's Motion to Compel Production of Selective Prosecution Evidence Discharge of Attorney
    Order Setting Motions Hearing Motion to Reschedule Motions Hearing
    Order Setting Jury Trial Petition for Writ of Supervisory Control and Exhibits A-J
    Notice of Filing Order (Response to Petition of Writ of Supervisory Control)
    Order Denying Motion to Obtain Records from Veterans Administration and for Leave to File Demonstration of Cause Ex-Parte Under Seal Filing of Stipulated Proposed Jury Instructions
    Trial Subpoena State's Proposed Jury Instructions
    State's Objections to Defendant's Exhibits Defendant's Objection to Plaintiff's Exhibits

In the Matter of: Arthur Leroy Heffelfinger * SEC-2011-37

Consent Agreement and Final Order  

In the Matter of: Raymond James & Associates, Inc., And Raymond James Financial Services, Inc. * SEC-2011-228

Consent Agreement and Final Order  

In the Matter of:  Loveless Wealth Management * SEC-2011-41

Consent Agreement and Final Order  

In the Matter of: MetLife Investors USA Insurance Company * SEC-2011-110 

Consent Agreement and Final Order  

In the Matter of:  Morgan Asset Management, Inc, and Morgan Keegan & Company, Inc. *SEC-2011-192

Administrative Consent Order  

In the Matter of:  Riversource Distributors Inc. * SEC-2011-288

Consent Agreement and Final Order  

In the Matter of:  Anne Marie Schlenker in her capacity as a salesperson and investment advisor representative, CRD# 4536970 * SEC-2011-170

Consent Agreement and Final Order  

In the Matter of: Robert L. Sherry * SEC-2011-239

  Notice of Proposed Agency Disciplinary Action Order Regarding Oral Argument on Filed Exceptions and Supporting Briefs
  Final Agency Decision

In the Matter of: Jere Wagner and J.F. Wagner * SEC-2011-110

Consent Agreement and Final Order MetLife Investors USA Insurance Company Consent Agreement and Final Order