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CSI Securities 2012 Legal Actions

In the Matter of: Bankers Life and Casualty Company and BLC Inc. * SEC-2012-240

Administrative Consent Order  

In the Matter of: Rodney Casey * SEC-2012-300

Consent Agreement and Final Order  

In the Matter of: Delano & Morgenroth Investment Advisors, LLC * SEC-2012-299

Consent Agreement and Final Order  

In the Matter of: The Registration Application of Doley Securities, LLC * SEC-2012-118

Motion for Order Denying Registration Application Findings of Fact, Conclusions of Law, Order, and Notice of Opportunity for Hearing

In the Matter of: Funky Shark, LLC, and Scott R. Wacker * DDV-2012-951 * SEC-2012-260

Temporary Restraining Order and Order to Show Cause Consent Agreement

In the Matter of: Lawson Financial Corporation * SEC-2012-242

Consent Agreement and Final Order  

In the Matter of: LPL Financial LLC * SEC-2012-144

Consent Agreement and Final Order  

In the Matter of: Kelly John Nelson (RBC Capital Markets, LLC) * SEC-2012-164

Consent Agreement and Final Order (RBC Capital Markets) Consent Agreement

In the Matter of: ProEquities, Inc. * SEC-2012-220

Administrative Consent Order

The State v. Richard F Reynolds, a/k/a Richard F. Adkins * DV-12-152C

Order Granting Leave to File Information Information
  Temporary Restraining Order Affidavit of Probable Cause
  Preliminary Injunction Order

In the Matter of: Stewart & Associates * SEC-2012-304

Consent Agreement and Final Order  

In the Matter of: Brete Thibeault * SEC-2012-298

Consent Agreement and Final Order  

In the Matter of: UVest Financial Services Group * SEC-2010-243

Administrative Consent Order