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CSI Legal Actions

Legal

CSI Securities 2011 Legal Actions

*The State v. James "Jeb" Bryant SEC-2011-44B * DC-11-116**
	Information	Motion for Leave to File Information and Affidavit in Support

*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: ETrade Securities, LLC. * SEC-2011-356**
	Amended Consent Order

*In the Matter of: Christopher Faber, CRD #3009187 SEC-2011-178**
	Consent Agreement and Final Order

*State of Montana v Harris Himes DC-11-117 (Montana Twenty-First Judicial District Court, Ravalli County)**
		Information	Motion to File and Affidavit in Support
		Response to Defendant's Motion to Compel Production of Selective Prosecution Evidence	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

*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

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