Companies Receiving Subpoenas
List of companies who received subpoenas as part of the Department's investigation into broker commission practices

Legal Documents
Copy of Complaint
Compliant for Injunctive Relief

Copy of Settlement Agreement
Proposed Consent Decree and Permanent Injunction

Proposed Regulations
Notice of Proposed Regulatory Action
Regulation Summary
Initial Statement of Reasons
Text of Regulation

Testimony
Commissioner's Testimony
November 16, 2004. U.S. Senate (As presented to the Subcommittee on Financial Management, Budget, and International Security Committee on Governmental Affairs) Commissioner Garamendi Addresses U.S. Senate Hearing on Hidden Broker Commissions