Legal Actions

The Office of the Montana State Auditor, Commissioner of Securities and Insurance has the authority to take legal action against violations of Montana Insurance Code and the Securities Act of Montana. Below are legal actions we have taken. If you have questions, please feel free to contact us.

Securities Contact: Lynne Egan at (406) 444-4388
Insurance Contact: Lisa Monroe at (406) 444-1942

Agent for Service of Process
ATTENTION ALL FOREIGN AND ALIEN INSURERS: Pursuant to House Bill 65, the Commissioner of Securities and Insurance is no longer your registered agent for service of process. You are required to appoint a registered agent who either resides or maintains a business address in Montana. On or before July 1, 2019, you must submit a completed Form 12 to Moni.Guillet2@mt.gov. Failure to comply may result in an administrative fine.

Securities Legal Actions

ID	Type	Year	In the matter of:	Case number	Document Type	URL	PDF
2	Securities	2000	Women Helping Women	I-02-03-00-055	Temporary Cease and Desist	/wp-content/uploads/I-02-03-00-055-TCD.pdf	View File
3	Securities	2003	US Bancorp Piper Jaffray, Thomas J. O'Neill	I-02-05-01-075	Consent Agreement (O'Neill)	/wp-content/uploads/I-02-05-01-075-CAO.pdf	View File
4	Securities	2003	US Bancorp Piper Jaffray, Thomas J. O'Neill	I-02-05-01-075	Consent Agreement (Piper Jaffray)	/wp-content/uploads/I-02-05-01-075-CAPJ.pdf	View File
5	Securities	2004	E.K. Riley Investments	I-02-112-04-125	Consent Agreement and Final Order	/wp-content/uploads/SEC-2002-303-CAFO.pdf	View File
6	Securities	2004	John C. Quist	SEC-09-22-04-1381	Temporary Cease and Desist	/wp-content/uploads/SEC-09-22-04-1381-TCD.pdf	View File
7	Securities	2004	John David Fox, Katherine Fox	01-21-04-123-I	Cease and Desist Order	/wp-content/uploads/01-21-04-123-I-CDO.pdf	View File
8	Securities	2004	L.H. Ross and Company	C-08-16-04-049	Consent Agreement and Final Order	/wp-content/uploads/C-08-16-04-125-CAFO.pdf	View File
9	Securities	2004	Mark Payton	9-20-02-103-I * 2002-303-SEC	Consent Agreement and Final Order	/wp-content/uploads/SEC-2002-303-CAFO.pdf	View File
10	Securities	2004	Martin Bower	I-11-08-04-01 * DV-08-182(A)	Amended Notice of Proposed Agency Action	/wp-content/uploads/DV-08-182-ANPAA.pdf	View File
11	Securities	2004	Martin Bower	I-11-08-04-01 * DV-08-182(A)	Consent Agreement and Final Order	/wp-content/uploads/DV-08-182-CAFO.pdf	View File

Insurance Legal Actions

ID	Type	Year	In the matter of:	Case Number	Document Type	URL	PDF
2	Insurance	2002	Buck Consultants	INS-2002-27	Consent Agreement	/wp-content/uploads/INS-2002-27-CA.pdf	View File
3	Insurance	2002	Fortis Insurance Company	INS-2002-50	Consent Agreement & Final Order	/wp-content/uploads/INS-2002-50-CAFO.pdf	View File
4	Insurance	2002	Georgia and Southland Life Insurance Company		Regulatory Settlement Agreement	/wp-content/uploads/INS-202-GSLIC-RSA.pdf	View File
5	Insurance	2002	James K. Sokolis	INS-2002-24	Stipulated Agreement and Final Order	/wp-content/uploads/INS-2002-24-SAFO.pdf	View File
6	Insurance	2002	Max E. Small	INS-2002-39	Propsed Agency Action	/wp-content/uploads/INS-2002-39-PAA.pdf	View File
7	Insurance	2002	Montana Benefits and Life Company	BVD-2001-369	Order	/wp-content/uploads/INS-2002-369-O.pdf	View File
8	Insurance	2002	Paul Jara	INS-2002-41	Content Agreement & Final Order	/wp-content/uploads/INS-PJ-RSA.pdf	View File
9	Insurance	2002	Paul Lybeck and Safeco Insurance Company of America	INS-2002-08	Consent Agreement	/wp-content/uploads/INS-2002-08-CA.pdf	View File
10	Insurance	2002	Ronald D. Dague	INS-2002-40	Consent Agreement & Final Order	/wp-content/uploads/INS-2002-40-CAFO.pdf	View File
11	Insurance	2002	Thomas S. Vandersloot	INS-2002-16	Consent Agreement and Final Order	/wp-content/uploads/INS-2002-16-CAFO.pdf	View File