The North Dakota Securities Department protects investors and supports legitimate capital formation. The Department is a regulatory agency responsible for the administration of the North Dakota Securities Act (10-04), the North Dakota Commodities Act (51-23), the Franchise Investment Law (51-19) and Pre-Need Funeral Services Law (43-10.1).
The Department regulates investment industry firms and professionals and also regulates capital formation involving the offer and sale of securities. We strive to adequately balance the support of efficient, legitimate capital formation with appropriate protections for investors who commit capital to businesses.
The investigation of investment fraud and other securities law violations is also our responsibility, and we may take enforcement actions that result in disciplinary remedies and act as a deterrent for further violations.
Through our investor education programs and resources, we strive to help North Dakotans make informed investment decisions, avoid fraud and build financial security.
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Investor Advisory: Celebrity Endorsements
Categories: Investor Alerts and Advisories
Influencers and celebrities may be paid to endorse an investment product, or their likeness may be used by scammers to create fake endorsements. Be wary of investment endorsements from celebrities or professional athletes on TV, radio, news sites or social media.
Securities Commissioner orders Ireland & Sando and Michael J. Rydell to cease and desist from the sale of unregistered securities and acting as an unregistered securities agent and investment adviser representative
Categories: Enforcement Actions
Order: Ireland & Sando LLC, and Michael J. Rydell
Categories: Enforcement Actions
Cease and Desist Order, Notice of and Order for Civil Penalties, Order for Rescission, and Notice of Right to Request a Hearing
AMS Holdings LLC, and Bradley J. Stroup
Categories: Enforcement Actions
Cease and Desist Order, Notice of Civil Penalties, Order for Rescission, and Notice of Right to Request a Hearing
Securities Commissioner orders Bradley J. Stroup and AMS Holdings to cease and desist from the sale of unregistered securities
Categories: Enforcement Actions
North Dakota Securities Department Joins Multiple States in $10 Million Settlement with Robinhood for Failing Investors
Categories: Enforcement Actions
North Dakota Securities Department Recognizes June 15 as World Elder Abuse Awareness Day
Categories: Investor Alerts and Advisories
Agridime LLC, a Texas limited liability company, and Joshua Link
Categories: Enforcement Actions
Cease and Desist Order, Notice of Civil Penalty, and Notice of Right to Request a Hearing
Informed Investor Advisory: Account Takeover Fraud
Categories: Investor Alerts and Advisories
Account takeover (ATO) fraud occurs when a bad actor gains unauthorized entry to an investor’s account, which enables them to conduct fraudulent financial transactions. They will often use compromised security information (e.g., logins and passwords) to access bank and brokerage accounts for the purpose of conducting illegal funds transfers, retail purchases, and trading activity.
National Sports Opportunity Partners LLC, a/k/a the trade name, National Sports Opportunity, LLC, Michael R. Kuntz, Jamieson Capital Financial LLC, and Jeremy L. Carlson
Categories: Enforcement Actions
Findings of Fact, Conclusions of Law, Cease and Desist Order, Notice of and Order for Rescission, Notice of and Order for Civil Penalties, Notice of Reservation of Commissioner's Authority to Amend Order, and Notice of Right to Request a Hearing
Securities Commissioner orders Michael Kuntz, National Sports Opportunity Partners, Jeremy L. Carlson, and Jamieson Capital Financial to cease and desist from sale of over $25 million in unregistered securities and misappropriation of investor funds
Categories: Enforcement Actions
Final Order: Bio-Sunn Technologies, Inc., Lewis Bauer, Equity Fund International (EFI), Inc., and Christopher Williams
Categories: Enforcement Actions
Findings of Fact, Conclusions of Law, and Final Order
Enforcement Order: Jamieson Capital Financial LLC, a North Dakota Limited Liability Company, and Jeremy L. Carlson
Categories: Enforcement Actions
Findings of Fact, Conclusions of Law, Cease and Desist Order, Notice of and Order for Rescission, Notice of and Order for Civil Penalties, Notice of Reservation of Commissioner's Authority to Amend Order, and Notice of Right to Request a Hearing
8 Beginner Investment Tips for Students
Categories: Investor Alerts and Advisories
One of the best ways to build wealth is by saving and investing over a long period of time. The earlier you start, the easier it is for your money to grow. Opening your first investment account is a key step in beginning your investment journey. Here are some important investment tips from the North Dakota Securities Department to consider when opening any investment account.
Investor Advisory: Investment Scams in the Metaverse
Categories: Investor Alerts and Advisories
With advances in technology including more enhanced digital experiences that blur the line between the physical and digital worlds, the future has arrived in the form of the “metaverse.” A series of virtual worlds, the metaverse is the latest technology that offers new ways to interact and collaborate, and with that, new ways to perpetrate financial scams and investment fraud. This alert highlights some current metaverse investment scams and provides tips for investors to protect themselves.
Investor Advisory: "Finfluencers"
Categories: Investor Alerts and Advisories
With stock market volatility dominating Main Street news headlines since early 2020, interest in investing has seen a dramatic increase. According to Bloomberg News, downloads of investment apps rose by 20% in 2021 from the year prior while actual time spent on these apps jumped by 90%. Most Millennials and Gen Z-ers are using social media sources for information about investing rather than relying on more traditional sources of investing information such as brokerage or investment advisory firms, or regulatory agencies.
Influencers have taken notice, and social media has become more saturated with financial content than ever before, leading to the rise of the financial influencer, or “finfluencer.” Viral videos claiming that an investment opportunity will “go to the moon this year!” have proliferated, as have social media postings promoting easy plans for paying off your house, car, or student loan debt using language such as “Five easy tricks to financial freedom.”
This investor advisory explains what financial influencers are, how they are compensated, what you should keep in mind when you are exposed to financial influencers’ content, red flags to watch out for, and resources available to you.
Investor Advisory: Promissory Notes
Categories: Investor Alerts and Advisories
Promissory notes can be appropriate investments for certain investors. However, promissory notes that are sold broadly to individual investors are often scams and are a leading source of investor complaints received by securities regulators.
National Sports Opportunity Partners LLC, a/k/a the trade name, National Sports Opportunity LLC, ICON Investment Group, LLC, Leftfield Development, LLC, and Michael Kuntz
Categories: Enforcement Actions
Cease and Desist Order, Notice of Civil Penalties, Order for Rescission, and Notice of Right to Request a Hearing
Investor Advisory: Private Placement Investments
Categories: Investor Alerts and Advisories
A private placement is a securities offering that is not required by law to be registered with federal or state securities regulators. Private placements allow companies to sell stocks, bonds, or other securities to investors without completing the rigorous disclosures necessary in a registered offering.
Jamieson Capital Financial, LLC, a North Dakota limited liability company, and Jeremy L. Carlson
Categories: Enforcement Actions
Findings of Fact, Conclusions of Law, Order to Summarily Suspend Investment Adviser Registration, Notice of Proposed Order to Revoke Investment Adviser Registration, Cease and Desist Order, Notice of Civil Penalties, Order for Rescission, Notice of Reservation of Commissioner's Authority to Amend Order, and Notice of Right to Request a Hearing
Jamieson CAPEX Fund, LLC, Jamieson Medical, LLC, Jamieson Natural Resources Fund, LLC, Nova DC, LLC, Secure Income Fund, LLC, Jamieson Legacy Fund, LLC, Mainstreet Investment Partners, LLC, National Sports Capital, LLC, and Jeremy L. Carlson
Categories: Enforcement Actions
Stop Order Summarily Suspending the Offer and Sale of Federal Covered Securities, Cease and Desist Order, Notice of Civil Penalties, and Notice of Right to Request a Hearing
Bankers Life and Casualty Company and BLC Financial Services, Inc. - Amendment to Consent Order
Categories: Enforcement Actions
Investor Advisory: Credit Ratings
Categories: Investor Alerts and Advisories
With interest rates on the rise, more investors may be considering an investment in bonds or bond funds, and in researching alternatives or talking to a financial adviser, may have come across bond credit ratings. Credit ratings usually appear in the form of alphabetical letter grades (for example, ‘AAA’ and ‘BBB’) and are an estimate of the relative level of credit risk of a bond, company or government. Credit ratings are issued by third parties and are not an assessment by the issuer of the bond or by securities regulators.
Credit ratings can be useful when evaluating an investment. But when considering credit ratings, you should understand their limitations. You should not base your investment decision solely on a credit rating or treat a credit rating as if it were investment advice.
The North Dakota Securities Department Recognizes June 15 as World Elder Abuse Awareness Day
Categories: Investor Alerts and Advisories
In recognition of World Elder Abuse Awareness Day on June 15, the North Dakota Securities Department reminds financial professionals and the public throughout North Dakota to be on the lookout for signs of elder financial abuse.
Governor Burgum Issues Proclamation Recognizing World Elder Abuse Awareness Day on June 15
Categories: Investor Alerts and Advisories
Governor Burgum Issues Proclamation Recognizing World Elder Abuse Awareness Day on June 15.
Investor Advisory: ESG Investing
Categories: Investor Alerts and Advisories
Many investors are becoming more conscious of whether a company in which they are investing has considered environmental, social and governance (ESG) factors. This is resulting in an investor-driven push to get corporate managers to pay greater attention to ESG issues. Some corporations are responding by altering their management philosophies and business plans.
Investor Advisory: Romance Scams
Categories: Investor Alerts and Advisories
Don't get swept away by a romance scam.
Dating apps and social media platforms may be a popular way to meet new people, but be cautious if someone turns an online romance into an opportunity to solicit an investment or asks to borrow money. Scammers are increasingly posing as potential romantic partners to lure people into fraudulent investment schemes. This alert discusses common tactics fraudsters use in investment-related romance scams and gives you steps to take to protect yourself from these schemes.
Investor Advisory: Social Media, Online Trading and Investing
Categories: Investor Alerts and Advisories
In our digitally connected world, some investors turn to online chatrooms and social media platforms for information about investing or specific investment opportunities. And with today’s trading technology, it’s easy to go from zero to invested in a matter of minutes. Phone apps can turn inexperienced investors into day traders, and online investment chat forums make it easy to use these sources for investment advice rather than relying on the services of a registered investment professional. While ever-evolving financial technology innovation makes investing more accessible to greater numbers of people, investors must understand the risks created when financial innovation and social media intersect.
Investor Advisory: Reassigned Investment Accounts
Categories: Investor Alerts and Advisories
The relationship you have with your investment professional is a key element to meeting your long-term financial goals.
If your stockbroker or investment adviser representative leaves his or her employer, you should make sure that you understand how and why it happened. It could be as simple as a move to another city or retirement, but there could be other reasons too. It is critical to find out what happened before deciding who will help you with your investments going forward. After all, it’s your money and your financial future.
Investor Advisory: Crypto Asset Interest-Bearing Accounts
Categories: Investor Alerts and Advisories
Crypto assets, including cryptocurrencies, stablecoins, tokens, and other digital assets have been of increasing interest to individual investors over the last few years. This Investor Advisory highlights the risks that may be involved in a new financial product related to crypto assets—an interest-bearing account for crypto asset holdings.
Securities Regulators Announce Top Investor Threats for 2022
Categories: Investor Alerts and Advisories
The North Dakota Securities Department has released its annual list of top investor threats and urges caution before purchasing popular and volatile unregulated investments – especially those involving cryptocurrency and digital assets. Along with the list of top investor threats, the Department also provides guidance for investors, including steps to take to protect against fraud in the new year.
Bank to the Future: Decentralized Finance (DeFi) Defined
Categories: Investor Alerts and Advisories
As part of its ongoing effort to raise investor awareness, the North Dakota Securities Department has issued an investor advisory discussing Decentralized Finance (DeFi), a relatively new blockchain-based set of financial products and services.
Bio-Sunn Technologies, Inc., a North Dakota Corporation, Lewis Bauer, Equity Fund International (EFI), Inc., a Georgia Corporation, and Christopher Williams - Cease and Desist, Civil Penalty, Rescission Order
Categories: Enforcement Actions
Securities Regulators Urge Investors to Establish a Trusted Contact to Increase Investor Protection
Categories: Investor Alerts and Advisories
In a combined effort to provide additional protection for investors, FINRA and the North American Securities Administrators Association (NASAA), of which the North Dakota Securities Department is a member, have announced a new campaign urging investors to provide their financial firms with a trusted contact. The U.S. Securities and Exchange Commission’s Office of Investor Education and Advocacy (SEC OIEA) is also collaborating on this initiative.
Are you an informed investor? Expense Ratios
Categories: Investor Alerts and Advisories
Mutual funds and exchange traded funds (ETFs) offer investors a cost-efficient way to invest in professionally managed portfolios of securities. While it is often tempting to make a purchase based on a fund’s historical performance, informed investors know that past performance is no guarantee of future performance, and that they must review a fund’s prospectus, shareholder reports and portfolio holdings to see if the fund’s risk/return profile aligns with theirs. An informed investor will pay particular attention to a fund’s expense ratio, which, over time, can eat into a fund’s earnings significantly.
Fiduciary Investment Funds, Fiduciary Investment Services, LLC & Mark G. Wagner - Consent Order
Categories: Enforcement Actions
Notice Regarding Historical Financial Performance Representations During the COVID-19 Pandemic
BISMARCK, ND (June 17, 2020) – The Securities Department is issuing this notice to inform franchisors and their counsel that the Department will be following the guidance recently issued by the NASAA Franchise Project Group regarding historical financial performance representations (“FPRs”) in light of the fact that the COVID-19 pandemic has significantly impacted many franchise systems.
REVISED ORDER MANDATING ELECTRONIC FILINGS
In the Matter of: Electronic Filing of Securities Registration Applications, Notice Filings, and Exemption Filings.
New Franchise Disclosure Handbook Available from NASAA
WASHINGTON, D.C. (May 8, 2020) – The North American Securities Administrators Association (NASAA) today announced the availability of a new publication designed to improve the quality of franchise disclosures.
The 366-page Franchise Disclosure Document Handbook: A Resource Guide for Preparing a Franchise Disclosure Document is a compilation of the various rules, commentaries, and guidance from the Federal Trade Commission and NASAA governing the preparation of Franchise Disclosure Documents.
ORDER MANDATING ELECTRONIC FILINGS
***PLEASE NOTE: THIS ORDER HAS BEEN REVISED EFFECTIVE JUNE 8, 2020***
In the Matter of: Electronic Filing of Securities Registration Applications, Notice Filings, and Exemption Filings.
ORDER MANDATING ELECTRONIC FILINGS
COVID-19-RELATED INVESTMENT SCHEMES ANTICIPATED: State Securities Regulators Outline Fraud Expectations, Provide Investor Protection Guidance
Bismarck ND – Amid the ongoing COVID-19 pandemic, securities regulators continue to urge investors to be on guard against an anticipated surge of fraudulent investment schemes.
COVID-19-RELATED INVESTMENT SCHEMES ANTICIPATED: State Securities Regulators Outline Fraud Expectations, Provide Investor Protection Guidance
Categories: Investor Alerts and Advisories
Bismarck ND – Amid the ongoing COVID-19 pandemic, securities regulators continue to urge investors to be on guard against an anticipated surge of fraudulent investment schemes.
Emergency Notice No. 2020-03 Temporary Relief from Notary Attestation for Registants and Other Filers Affected by the COVID-19 Outbreak Granted by the Commissioner
EMERGENCY NOTICE No. 2020-03 | April 2, 2020
Temporary Relief from Notary Attestation for Registrants and Other Filers Affected by the COVID-19 Outbreak Granted by the Commissioner under N.D.C.C. § 10-04-03(2)
The North Dakota Securities Commissioner understands that registrants and other filers may not be able to obtain notary attestation at this time.
EMERGENCY NOTICE No. 2020-01 Temporary Relief for Registrants Affected by the COVID-19 Outbreak Granted by the Commissioner under NDCC 10-04-03(2)
I. Relief from Requirement to Obtain Physical Signatures on Forms U4
II. Relief from Annual Update Filings and Document Delivery Requirements by State-Registered Investment Advisers
Informed Investor Advisory: Affinity Fraud
Categories: Investor Alerts and Advisories
Affinity fraud is a fraudulent financial scheme that involves a scammer who is or appears to be part of a community or interest group. The scammer builds trust within the group, and exploits that trust to push fraudulent, non-existent, and too-good-to-be-true investments on other members of the group.
Union Bank Payment Coin, a/k/a UBPC, and its Officers, Directors, Agents, and Employees - Cease and Desist Order
Categories: Enforcement Actions
CacheCoine Corp., and Harlen Lee Ellis - Cease and Desist Order, Notice of Civil Penalty, Notice of Right to Request Hearing
Categories: Enforcement Actions
Crystal Token and its Officers, Directors, Agents, and Employees - Cease and Desist Order
Categories: Enforcement Actions
Life Cross Coin, a/k/a Lifecrosscoin GmbH, and its Officers, Directors, Agents, and Employees - Cease and Desist Order
Categories: Enforcement Actions
Advertiza Holdings (Pty) Ltd, a South African registered company, and its Officers, Directors, Agents, and Employees - Cease and Desist Order
Categories: Enforcement Actions
Pension Rewards Platform, a/k/a Pension Rewards, and their Officers, Directors, Agents, and Employees - Cease and Desist Order
Categories: Enforcement Actions
BitConnect LTD and BitConnect International PLC, United Kingdom limited companies, and their Officers, Directors, Agents, and Employees - Cease and Desist Order
Categories: Enforcement Actions
Magma Foundation, a/k/a Magma Coin, a/k/a Magma, and their Officers, Directors, Agents, and Employees - Cease and Desist Order
Categories: Enforcement Actions
FBD Ventures II, LLC, and Craig F. Wollenburg - Cease and Desist Order, Order for Rescission, Notice of Right to Request Hearing, Order for Civil Penalty
Categories: Enforcement Actions
Be Cautious of the Crypto Investment Craze
Categories: Investor Alerts and Advisories
Cryptocurrencies burst into the investing mainstream in 2017 as the values of some virtual coins and tokens skyrocketed, led by Bitcoin. Mainstream media now feature daily coverage of new cryptocurrencies, coin exchanges, and related investment products.
What to Know about ICOs
Categories: Investor Alerts and Advisories
Initial Coin Offerings (ICOs) are attracting investors interested in new trends in technology investing. Regulation of ICOs is evolving and complex.
Main Street Hospitality, LLC, and Robert Pagan - Consent to Entry of Order, Consent Order
Categories: Enforcement Actions
Main Street Hospitality, LLC, and Robert Pagan - Cease and Desist Order, Order for Rescission, Notice of Right to Request Hearing, Order for Civil Penalty
Categories: Enforcement Actions
H. Michael Hardy, RSE, Inc., and Hardy Management Group, LLC - Consent Order
Categories: Enforcement Actions
Securities Commissioner Reminds Investors to Approach Cryptocurrency with Caution
Categories: Investor Alerts and Advisories
Bismarck, ND, January 4, 2018 — With cryptocurrencies continuing to attract headlines, Securities Commissioner Karen Tyler today reminded North Dakota investors to be cautious about investments involving cryptocurrencies.
Elements Franchising, LLC and Christopher J. Palumbo - Desist and Refrain Order, Notice of Right to Request Hearing, Order for Civil Penalty
Categories: Enforcement Actions
Rash Enterprises, LLC, Taylor Rash, and Tom Doll - Cease and Desist Order, Order for Rescission, Notice of Right to Request Hearing, Order for Civil Penalty
Categories: Enforcement Actions
Susan L. Welo, Welo Wealth Management - Cease and Desist Order, Notice of Right to Request Hearing
Categories: Enforcement Actions
Escheatment: Do You Have Unclaimed Property Sitting with the Government?
Categories: Investor Alerts and Advisories
Escheatment is a process whereby the government takes ownership of property, including financial assets, that has been deemed abandoned by the property’s rightful owner. Escheatment of financial accounts typically occurs after a period of account-related dormancy (or “inactivity”) and after attempts to identify and contact the account owners have failed.
EB-5 Fraud: Immigrant Investors Beware
Categories: Investor Alerts and Advisories
In an effort to stimulate the U.S. economy through job creation and capital investment by foreign investors, the U.S. Congress in the early 1990s authorized the creation of a new type of immigrant visa known as the Employment-Based, Fifth Preference (EB-5) visa.
Douglas E. Arends - Cease and Desist Order, Notice of Civil Penalty, Notice of Right to Request Hearing
Categories: Enforcement Actions
Small Business Advisory: Crowdfunding
Categories: Investor Alerts and Advisories
The Jumpstart Our Business Startups (JOBS) Act, a series of legislative provisions intended to facilitate capital formation in the United States, was signed into law in 2012. This legislation included the CROWDFUND Act, which made significant changes to current federal and state securities laws. The CROWDFUND Act allows entrepreneurs to raise capital by offering to sell interests in their businesses over the Internet. Under the CROWDFUND Act, a small business is allowed to raise $1 million in a 12-month period by selling its securities to investors without registering that offering with federal or state securities regulators. However, the Act places limitations on how and to whom a small business can sell its securities. In May 2106, the Securities and Exchange Commission (SEC) issued rules to implement this new exemption to allow securities sales through crowdfunding.
Investor Advisory: Crowdfunding
Categories: Investor Alerts and Advisories
The Internet has become an inexpensive and easy way for individuals and businesses to raise money. In 2012, Congress passed the JOBS Act, which directed the Securities and Exchange Commission (SEC) to formulate rules to exempt equity crowdfunding from the securities registration laws. These rules went into effect in May, 2016 and removed restrictions on start-up companies that use the internet to find investors.
Master Limited Partnerships: An Introduction
Categories: Investor Alerts and Advisories
The Securities and Exchange Commission’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help investors understand Master Limited Partnerships, or MLPs. Because investing in an MLP may be unfamiliar, investors should carefully consider potential benefits – and risks – before making an investment decision.
Pension Advance Scams: Retirees Beware!
Categories: Investor Alerts and Advisories
A pension is a type of retirement plan, usually tax-exempt, in which an employee makes contributions toward a pool of funds set aside for an employee’s future benefit. The pool of funds is invested on the employee’s behalf, allowing the employee to receive benefits upon retirement.
- Are you earning a pension from your employer and need cash fast?
- Are you an investor looking for new ways to grow your investment dollars?
If you answer yes to either question, you may be the target of a new wrinkle on an old type of scam.
Kevin D. Wanner, Precision Financial Services, Questar Capital Corporation - Order to Revoke the Agent Registration
Categories: Enforcement Actions
Third-Party Asset Recovery Companies: Are They Advocating for You?
Categories: Investor Alerts and Advisories
Victims of investment scams are wise to use caution if approached by companies promising to help them recover their lost investment funds and bring the perpetrators to "justice." A third-party asset recovery company is a company that charges a fee to assist individuals in recovering money lost in scams. The company claims to gather information on the scam and assist the individual in recovering lost investment dollars. Many of these self-proclaimed recovery companies are not law firms, although they may advertise that they can provide legal assistance. Typically, the targeted investors have lost thousands of dollars, perhaps even their entire life's savings, to fraudulent investment schemes.
Securities Commissioner Orders Cease and Desist and Suspends ND Agent
Bismarck, ND -- North Dakota Securities Commissioner Karen Tyler has ordered Kevin D. Wanner, CRD# 1402627, a Bismarck securities and insurance agent, doing business under the trade name, Precision Financial Services, to Cease and Desist from selling fictitious Certificates of Deposit...
Kevin D. Wanner, Precision Financial Services, Questar Capital Corporation - Proposed Order to Revoke Agent Registration, Cease and Desist Order, Order for Summary Suspension of the Agent Registration, Notice of Right to Request Hearing
Categories: Enforcement Actions
Investor Bulletin: Exchange Traded Notes (ETNs)
Categories: Investor Alerts and Advisories
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about exchange-traded notes (“ETNs”). ETNs are unsecured debt obligations of financial institutions that trade on a securities exchange. ETN payment terms are linked to the performance of a reference index or benchmark, representing the ETN’s investment objective.
Variable Annuities- An Introduction
Categories: Investor Alerts and Advisories
The SEC's Office of Investor Education and Advocacy is issuing this bulletin to educate investors about variable annuities and how they work. Variable annuities are complex products, and this Investor Bulletin focuses solely on the basics. For more in-depth information about variable annuities, see our companion publication, Variable Annuities: What You Should Know.
Halcyon Cabot Partners, Ltd. - Order to Revoke the Dealer Registration
Categories: Enforcement Actions
Be Wary of The Next Big Thing in Investments
Categories: Investor Alerts and Advisories
At first glance, marijuana, binary options, and digital currency appear to have no real connection to one another. But what they all have in common is their recent emergence as three investments that both sellers and buyers hope will become the "next big thing." Before you consider investing, make sure you understand what these products are, their benefits, and their risks.
ND Securities Commissioner Cautions Investors to Be Wary of 'The Next Big Thing' When it Comes to Investing
North Dakota Securities Commissioner, Karen Tyler, today issued an advisory reminding investors to be cautious when considering investing in three products recently making news: marijuana-related investments, binary options and digital currency. The advisory is on the North Dakota Securities Department’s website at www.nd.gov/securities.
Cease and Desist issued against Paul De Bastos and North Dakota Bakken Connection
North Dakota Securities Commissioner Karen Tyler has ordered Paul De Bastos and North Dakota Bakken Connection LLC (NDBC) to Cease and Desist from selling unregistered securities, acting as an unregistered broker-dealer or agent, and engaging in fraudulent practices in connection with the offer and sale of securities.
Halcyon Cabot Partners - Order to Revoke the Dealer Registration, Order for Summary Suspension of the Dealer Registration, Notice of Right to Request Hearing
Categories: Enforcement Actions
Non-traded REITs
Categories: Investor Alerts and Advisories
The SEC’s Office of Investor Education and Advocacy is issuing this bulletin to educate investors about investing in non-traded REITs
Identity Theft, Data Breaches and Your Investment Accounts
Categories: Investor Alerts and Advisories
The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to provide investors with important steps to take regarding their investment accounts if they become victims of identity theft or a data breach.
Understanding Broker-Dealer Fees
Categories: Investor Alerts and Advisories
Savvy consumers know it is important to compare prices on similar products to get the best value for their money. Wouldn’t it be nice if the same were true when shopping for a broker-dealer firm to know which is best for you.
Planning for Diminished Capacity and Illness
Categories: Investor Alerts and Advisories
The SEC’s Office of Investor Education and Advocacy and the CFPB’s Office for Older Americans are issuing this bulletin to help investors and consumers understand the potential impact of diminished capacity on their ability to make financial decisions and to encourage investors and consumers to plan for possible diminished financial capacity well before it happens.
Paul De Bastos, North Dakota Bakken Connection, LLC - Cease and Desist Order, Notice of Civil Penalty, Notice of Right to Request Hearing
Categories: Enforcement Actions
Panda Trucking, LLC, Daniel E. Jenkins - Consent to Entry of Order, Consent Order
Categories: Enforcement Actions
Automated Investment Tools
Categories: Investor Alerts and Advisories
The SEC’s Office of Investor Education and Advocacy (OIEA) and the Financial Industry Regulatory Authority, Inc. (FINRA) are issuing this alert to provide investors with a general overview of automated investment tools.
SECURITIES COMMISSIONER ISSUES CEASE AND DESIST ORDER IN $62 MILLION FRAUD
Categories: North Dakota Veterans' Home
North Dakota Developments, LLC, Robert Lee Gavin, Daniel John Hogan - Cease and Desist Order, Notice of Right to Request Hearing
Categories: Enforcement Actions
Panda Trucking, LLC, Daniel E. Jenkins - Cease and Desist Order, Order for Rescission, Notice of Right to Request Hearing, Order for Civil Penalty
Categories: Enforcement Actions
Third-Party Custodians of Self-Directed IRAs and Other Qualified Plans
Categories: Investor Alerts and Advisories
This advisory issued is help investors separate fact from fiction regarding the responsibilities of third-party custodians of self-directed individual retirement accounts (IRAs) and other qualified plans.
HIGH-YIELD INVESTMENT PROGRAMS: Don't Get Roped In
Categories: Investor Alerts and Advisories
The advisory includes tips to help investors recognize a high-yield investment program and offers steps investors should take to protect themselves from these scams.
Virtual Currency
Categories: Investor Alerts and Advisories
North Dakota Securities Department ISSUES INVESTOR ADVISORY ON VIRTUAL CURRENCY
It pays to know what’s in your e‐Wallet
Social Voucher.com, Inc., Gerald C. Parker - Consent to Entry of Order, Consent Order
Categories: Enforcement Actions
ATEL Securities Corporation - Consent to Entry of Order, Consent Order
Categories: Enforcement Actions
Midwest Gold Company, LLC, Kirk Scott Grace - Cease and Desist Order, Notice of Civil Penalty, Notice of Right to Request Hearing
Categories: Enforcement Actions
Morgan Asset Management, Inc., Morgan Keegan & Company, Inc. - Consent to Entry of Order, Administrative Consent Order
Categories: Enforcement Actions
UBS Financial Services, Inc. - Consent to Entry of Order, Consent Order
Categories: Enforcement Actions
RBC Capital Markets, LLC - Consent to Entry of Order, Administrative Consent Order
Categories: Enforcement Actions
Former Fargo Broker Sentenced In Operation of Ponzi Scheme
Robert H. Medhus, a former securities broker who defrauded 18 clients of over $900,000 in a Ponzi-like scheme was sentenced to ten years in prison by Judge Frank Racek today in Fargo’s East Central District Court.
Registration or Licensing Status of Financial Professionals
Categories: Investor Alerts and Advisories
Financial professional titles and licenses are not the same. A financial professional may use various titles whether or not he or she is registered or licensed with a regulatory authority. Financial professionals that are registered as a broker-dealer or investment adviser have obtained registrations and licenses granted by federal or state regulatory authorities. Working with a financial professional who is registered with or licensed by federal or state authorities affords you certain legal protections.
Edwin Brent Lundgren - Order to Summarily Postpone the Approval of Respon, Notice of Civil Penalty, Order Refusing Registration as an Agent, Order for Rescission, Notice of Right to Request Hearing
Categories: Enforcement Actions
Energy Investments
Categories: Investor Alerts and Advisories
With energy demands and a desire for energy independence increasing globally, investments in traditional and alternative energy resources are being promoted more often and are becoming attractive to more investors. Some examples include: wind turbines, solar panels, biodiesel, ethanol, coal, oil, gas, hydrogen, wave, geothermal, oil sands, and liquefied natural gas. Many of these investments are highly risky and are usually not appropriate for all investors. It is not unusual for unscrupulous promoters to follow the headlines and take advantage of unsuspecting investors by engaging in fraudulent practices.
Promoters sometimes prey on investors interested in socially responsible products by labeling them as “green energy” investment opportunities. The phrase “green energy” implies that the products are ecologically friendly when in fact the promoters may be operating a fraudulent shell company and not producing anything.
Peachtree Partners, Ira J. Gaines - Stop Order Summarily Suspending the Offer and Sale, Notice of Right to Request Hearing
Categories: Enforcement Actions
Peachtree Partners, Ira J. Gaines - Order to Suspend Securities Registration, Notice of Right to Request Hearing
Categories: Enforcement Actions
Are You an Informed Investor? Financial Service Providers
Categories: Investor Alerts and Advisories
Whether you are just starting a retirement fund or need additional help with growing and managing your money, you may benefit from selecting an investment services professional. Finding a person who is knowledgeable, affordable, and trustworthy may be a challenging process. This advisory provides basic information on three types of financial services professionals and their obligations to you as a client: broker-dealer agents, investment adviser representatives, and financial planners. An individual professional can hold any of these three credentials or titles, among others.
Roman Novak, Radoslav Novak, Inter Reef Ltd., Profitable Sunrise - Cease and Desist Order, Notice of Civil Penalty, Order for Rescission, Notice of Right to Request Hearing
Categories: Enforcement Actions
FORMER BROKER CHARGED WITH THEFT AND SECURITIES FRAUD
Bismarck, ND - Robert H. Medhus, a former securities broker, has been criminally charged with securities fraud, the sale of unregistered securities, and theft of property.
Are you an informed investor? Social Networking
Categories: Investor Alerts and Advisories
Social Networking in the Internet age allows people to connect to one another more quickly and easily than ever before. Investment promoters increasingly are logging on to find investors...and their money.
Before investing through a social network, ask yourself these questions: Have I verified that the promoter is legitimate? Do I understand the risks of the investment?
Are you an informed investor? Exchange Traded Funds - ETFs
Categories: Investor Alerts and Advisories
Exchange Traded Funds (ETFs) have grown increasingly popular among retail investors seeking safe, stable alternatives to mutual funds.
Before investing in an ETF, ask yourself these questions: Do I understand this investment? Is this investment right for me?
Are you an informed investor? Nutraceutical Stock
Categories: Investor Alerts and Advisories
Many of the products that claim to achieve these objectives are called "nutraceuticals," a term used to describe dietary
supplements and food and drink products that contain additives purporting to provide health benefits. While some of the companies producing these products are legitimate, others could be bogus operations with the potential to harm unsuspecting investors.
Are you an informed investor? Crowdfunding
Categories: Investor Alerts and Advisories
The Internet has become an inexpensive and easy way for individuals and businesses to raise money for their activities. Congress recently passed the JOBS Act, which directs the Securities and Exchange Commission (SEC) to create rules exempting crowdfunding from the securities registration laws. Once implemented these rules will remove restrictions on start-up companies seeking investors over the Internet. Investors should be on the lookout for unscrupulous issuers and intermediaries who may attempt to engage in crowdfunding before the rules are written or misuse crowdfunding to steal from investors through false and misleading representations.
Are you an informed investor? GOLD!
Categories: Investor Alerts and Advisories
Historically speaking, the value of gold-related investments fluctuates even more than the stock market. Gold often moves in reverse of stocks and bonds, so when stocks are down, gold seems like a very tempting investment. Before jumping onto the gold bandwagon, there are a few things you might want to consider.
Impact Energy, LLC, Eugene L. McArthur, Jr., Mike Ladue, Lynne Hanson - Consent Order
Categories: Enforcement Actions
Bankers Life and Casualty Company and BLC Financial Services, Inc. - Consent Order
Categories: Enforcement Actions
First Call Ventures, LLC d/b/a First Call Movers, Thomas M. White - Order to Vacate, Cease and Desist Order
Categories: Enforcement Actions
Caldwell International Securities Corporation - Consent Order, Consent to Entry of Order
Categories: Enforcement Actions
New Hi-Tech Oil & Gas Discoveries, LLC, Dennis W. Stutes - Stop Order Summarily Suspending the Offer and Sale
Categories: Enforcement Actions
Robert H. Medhus, RTM, Ltd., Medhus Company, Associated Financial Services, Inc. - Cease and Desist Order
Categories: Enforcement Actions
First Call Ventures, LLC d/b/a First Call Movers, Thomas M. White, Please see VACATED ORDER - Cease and Desist Order
Categories: Enforcement Actions
Hartford Equity Sales Company Inc., Craig H. Miller - Consent Order, Consent to Entry of Order
Categories: Enforcement Actions
Piper Jaffray & Co., Brady Vollmers - Consent Order, Consent to Entry of Order
Categories: Enforcement Actions
E*TRADE SECURITIES, LLC - Administrative Consent Order, Consent to Entry of Order
Categories: Enforcement Actions
Piper Jaffray & Co., Brady Vollmers - Order for and Notice of Civil Penalty
Categories: Enforcement Actions
Associated Financial Services, Inc. - Order to Revoke the Dealer Registration
Categories: Enforcement Actions
Ronald Dean Bennett d/b/a Ron Bennett Commercial Real Estate - Cease and Desist Order
Categories: Enforcement Actions
Associated Financial Services, Inc. - Order for Summary Suspension of the Dealer Registration
Categories: Enforcement Actions
ND SECURITIES BRINGS "MAD ABOUT MONEY" TO SCHOOLS
Bismarck, ND - Robert H. Medhus, a former securities broker, has been criminally charged with securities fraud, the sale of unregistered securities, and theft of property.
Raymond James & Associates, Inc., Raymond James Financial Services, Inc. - Administrative Consent Order
Categories: Enforcement Actions
A. J. Balfour & Group, Inc., Joseph L. Allen - Cease and Desist Order
Categories: Enforcement Actions
Gibraltar Partners, Inc., Anthony John Johnson - Cease and Desist Order
Categories: Enforcement Actions
RAHFCO Management Group, LLC - Stop Order Summarily Suspending the Offer and Sale
Categories: Enforcement Actions
UBS Securities, LLC, UBS Financial Services Inc. - Administrative Consent Order
Categories: Enforcement Actions
Stifel, Nicolaus & Company, Incorporated , , - Administrative Consent Order
Categories: Enforcement Actions
James R. Bullis, Montgomery, Goff & Bullis, P.C. - Consent to Entry of Order, Consent Order
Categories: Enforcement Actions
Merrill Lynch, Pierce, Fenner & Smith Incorporated - Administrative Consent Order
Categories: Enforcement Actions
Banc of America Securities LLC, Banc of America Investment Services, Inc. - Administrative Consent Order
Categories: Enforcement Actions
Wachovia Securities, LLC, Wachovia Capital Markets, LLC - Administrative Consent Order
Categories: Enforcement Actions
Nicholas Alexander Smirnow aka Nick Smirnow, doing business under the Ontario registered Business Name P-2-P NETWORK - Cease and Desist Order
Categories: Enforcement Actions
Inland National Securities, Inc., David Theusch, Keith Theusch - Consent Order
Categories: Enforcement Actions
Larry M. Atkins, Atkins Brokerage Services, Inc., Retirement Planning Concepts, Inc., Retirement Income Planning, Inc., Retirement Navigation, Inc. - Order for Permanent Injunction
Categories: Enforcement Actions
Rothschild Investment Corporation, Paul E. Geringer, Christian P. Geringer - Consent Order
Categories: Enforcement Actions
True Investments Inc., Ty Olstad - Notice of Right to Request Hearing, Order for Civil Penalty
Categories: Enforcement Actions
Larry M. Atkins, Atkins Brokerage Services, Inc., Retirement Planning Concepts, Inc., Retirement Income Planning, Inc., Retirement Navigation, Inc. - Ex Parte Order for Preliminary Injunction
Categories: Enforcement Actions
Ashmore Family Foundation, a Minnesota Charitable Trust, Flint Ashmore, Monte R. Ashmore - Consent Order
Categories: Enforcement Actions
LAS International, Ltd., Neil Whittey, Syver Vinje (also see order on 6/19/07) - Stipulation for Amendment
Categories: Enforcement Actions
LAS International, Ltd., Neil Whittey, Syver Vinje - Stipulation for Amendment of Consent Order
Categories: Enforcement Actions
Ashmore Family Foundation, Flint Ashmore, Monte R. Ashmore - Cease and Desist Order
Categories: Enforcement Actions
True Investments Inc., Ty Olstad, J & C Entertainment, James Carson - Cease and Desist Order
Categories: Enforcement Actions
First Union Securities, Inc., later known as Wachovia Securities, Inc., now known as Wachovia Securities, LLC - Consent Order
Categories: Enforcement Actions
LAS International, Ltd., Neil Whittey, Syver Vinje, (SEE JUNE 19TH CONSENT ORDER) -
Categories: Enforcement Actions
Americans for Lawful Financial Independence & Information, MY ICIS, Inc., Wayne Hicks, Lori Hicks - Cease and Desist Order
Categories: Enforcement Actions
IRAX International, LLC, Impact Industries International, LLC, Financial Planning Services, Inc., Bruce Anderson - Consent Order
Categories: Enforcement Actions
Berthel Fisher and Company Financial Services, Inc., Timothy Hayden - Consent Order
Categories: Enforcement Actions
Investment Centers of America, Inc., Larry A. Fust - Consent Agreement
Categories: Enforcement Actions
David A. Skjerven, Skjerven Financial Services - Cease and Desist Order
Categories: Enforcement Actions
ProTrust Financial Group, Inc., ProTrust Management Group, Inc., Gordon B. Grigg - Cease and Desist Order
Categories: Enforcement Actions
Viper Acquisition, LLC, Mees Masonry Corp., Riverside RV Rentals, Inc., Dig-it Underground, Inc., R. Lang Construction, Inc., Calvin K. Mees, Wade J. Vogel - Cease and Desist Order
Categories: Enforcement Actions
James R. Bullis, Montgomery, Goff & Bullis, P.C. - Cease and Desist Order
Categories: Enforcement Actions
Harmony Consultants, Inc., Conejo Valley Consultants, Inc., Mel Rosoff a/k/a Mel Fields - Cease and Desist Order
Categories: Enforcement Actions
Kea-Watt and Associates, Ltd., Joseph Henry Kalina, Larry Gene Kalina, Terry Wanless - Cease and Desist Order
Categories: Enforcement Actions
A. G. Edwards & Sons, Inc., Daniel M. Schmidt - Notice of Civil Penalty
Categories: Enforcement Actions
Government Benefit Services, Glen W. Finley, Jr. - Cease and Desist Order
Categories: Enforcement Actions
Schwartz Investment Management Company, James Schwartz - Consent Order
Categories: Enforcement Actions
Integrity Mutual Funds, Inc. f/k/a ND Holdings, Inc., ND Capital Inc., Robert E. Walstad - Order to Vacate Notice of Civil Penalty
Categories: Enforcement Actions
Integrity Mutual Funds, Inc. f/k/a ND Holdings, Inc., ND Capital, Inc., Robert E. Walstad - Undertaking
Categories: Enforcement Actions
Third Ridge Capital, LP, Third Ridge Capital Partners, LLC, Edward Neugeboren, Keith Barksdale - Agreement
Categories: Enforcement Actions
Bison Capital Management, LLC - Proposed Order to Refuse Investment Advisor Registration
Categories: Enforcement Actions
L. H. Ross & Co., Inc., Mintz & Fraade, P.C., Michael Assenza, Kelly Chance, Shannon Norris, Dean Baker - Order to Vacate Cease and Desist Order
Categories: Enforcement Actions
IRAX International, LLC, Financial Planning Services, Inc., Bruce Anderson, Rodney Kirschmann - Cease and Desist Order
Categories: Enforcement Actions
Impact Industries International, LLC, Financial Planning Services, Inc., Bruce Anderson, Rodney Kirschmann - Cease and Desist Order
Categories: Enforcement Actions
Investment Advisory Services, Thomas H. Marsden - Notice of Civil Penalty
Categories: Enforcement Actions
L. H. Ross & Co., Inc., Mintz & Fraade, P.C., Michael Assenza, Kelly Chance, Shannon Norris, Dean Baker - Consent Order
Categories: Enforcement Actions
Ross Owen Haugen - Order for Summary Suspension of the Investment Advisor Registration
Categories: Enforcement Actions
Berthel, Fisher & Company Financial Services, Inc., Lawrence W. Warren - Consent Order
Categories: Enforcement Actions
Preferred Trust and Management, LTD, Thomas Deschamp - Consent Order
Categories: Enforcement Actions
The (Wilson) Williams Financial Group, Inc., Sidney Mondschein - Undertaking and Agreement
Categories: Enforcement Actions
Integrity Mutual Funds, Inc., ND Capital, Inc., Robert E. Walstad - Notice of Civil Penalty
Categories: Enforcement Actions
L. H. Ross & Co., Inc., Mintz & Fraade, P.C., Michael Assenza, Kelly Chance, Shannon Norris, Dean Baker -
Categories: Enforcement Actions
Preferred Trust and Management, LTD, Larry Borud - Findings of Fact, Conclusions of Law
Categories: Enforcement Actions
Preferred Trust and Management, LTD, Mark Dostert - Findings of Fact, Conclusions of Law
Categories: Enforcement Actions
Preferred Trust and Management, LTD, Tony Kautt - Findings of Fact, Conclusions of Law
Categories: Enforcement Actions
Preferred Trust and Management, LTD, Todd Haskins - Findings of Fact, Conclusions of Law
Categories: Enforcement Actions
Preferred Trust and Management, LTD, Leon Borud - Findings of Fact, Conclusions of Law
Categories: Enforcement Actions
Preferred Trust and Management, LTD, Ron Stafford - Findings of Fact, Conclusions of Law
Categories: Enforcement Actions
West East Developments, Inc., Webster Crown - Cease and Desist Order, Notice of Civil Penalty
Categories: Enforcement Actions
EuroBond Fidelity, Ltd. - Cease and Desist Order, Notice of Civil Penalty
Categories: Enforcement Actions
D & M Capital, LLC, Associated Financial Services, Inc. - Consent Agreement
Categories: Enforcement Actions
American Dream Systems, Inc., Coupon Connection of America, Inc. - Consent Order
Categories: Enforcement Actions
Preferred Trust and Management, Ltd., Dennis Skarphol - Consent Order
Categories: Enforcement Actions
Citigroup Global Markets Inc., f/k/a Salomon Smith Barney Inc. - Consent Order
Categories: Enforcement Actions
Preferred Trust and Management, LTD, Mitchell Keiser - Consent Order
Categories: Enforcement Actions
Microvision Systems Corporation, Interactive Acquisition Master, Inc., Camry Consulting Services, Inc., Steve Lehner, Michael Hammerschmidt -
Categories: Enforcement Actions
Credit Suisse First Boston LLC, f/k/a Credit Suisse First Boston Corporation - Administrative Consent Order
Categories: Enforcement Actions
Preferred Trust and Management, LTD, Kris & Tana Thorfinnson - Consent Order
Categories: Enforcement Actions
UBS Warburg LLC, UBS PaineWebber Inc. - Administrative Consent Order
Categories: Enforcement Actions
Possible Technologies, Inc. , A/k/A The Right Reason, Treacy Duerfeld -
Categories: Enforcement Actions
L. H. Ross & Co., Inc., Mintz & Fraade, P.C., Michael Assenza, Kelly Chance, Shannon Norris, Dean Baker - Cease and Desist Order
Categories: Enforcement Actions
Grainline.com, Inc., Scott D. Olson, Kent Sortland - Cease and Desist Order
Categories: Enforcement Actions
CGF Securities, LLC - Order for Summary Suspension of the Dealer Registration
Categories: Enforcement Actions
Alliance Care, Inc., CGF Securities, LLC, Ross Owen Huagen - Consent Order
Categories: Enforcement Actions
Preferred Trust and Management, LTD., Richard L. Solberg - Consent Agreement
Categories: Enforcement Actions
Select Electronic Devices, Inc., VOIP Communications, Inc., Kent Johanneson a/k/a W. K. Johanneson, David Ludwick - Cease and Desist Order
Categories: Enforcement Actions
Camry Investment Services, Inc., Nathanson Investment Trust Account, Colin Nathanson, James Armstrong, Sheila R. Green - Cease and Desist Order
Categories: Enforcement Actions
Leafhead Consultants, Inc., Media Info Fund, LTD, Arthur Martiney - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust and Management, Ltd., Steve Tengesdal - Consent Order
Categories: Enforcement Actions
American Dream Systems, Inc., Coupon Connection of America, Inc. - Desist and Refrain Order
Categories: Enforcement Actions
Alliance Care, Inc., CGF Securities, LLC, Ross Owen Haugen - Cease and Desist Order
Categories: Enforcement Actions
Seed International Limited, Ocean International Marketing, Sam Howard, Hakki Kupper - Cease and Desist Order
Categories: Enforcement Actions
Capital Growth Real Estate Partners of Miami, LLC, CGF Securities, LLC, Ross Owen Haugen - Consent Order
Categories: Enforcement Actions
Craig F. Wollenburg, SPF Energy, Inc. - Order to Suspend Agent Registration
Categories: Enforcement Actions
Fegen & Associates, Legend Mobile f/k/a PTN Media, Inc., Nicholas A. Fegen, Peter C. Klamka - Cease and Desist Order
Categories: Enforcement Actions
MDVIP, Inc., Ross O. Haugen, CGF Securities, LLC - Cease and Desist Order
Categories: Enforcement Actions
American Capital Corporation, Ross O. Haugen - Cease and Desist Order
Categories: Enforcement Actions
Capital Growth Real Estate Partners of Miami, LLC, Ross O. Haugen, CGF Securities, LLC - Cease and Desist Order
Categories: Enforcement Actions
Forex Capital Group, LLC, Alaron FX, John Normanton - Cease and Desist Order
Categories: Enforcement Actions
Buck TV.Com, Inc., BuckBuilders.com, Inc., BK.com, Inc., MyFreeBingo.com, Inc., Schematic Cash Transactions Network.com, Inc., American Venture Trust, Larry E. Hunter, Bry Behrmann - Cease and Desist Order
Categories: Enforcement Actions
St. Clare Film Fund Capital Corporation, St. Paul Film Fund, Guadalupe Film Committee, Onesimus Production, Inc., Stephen A. Jones, Debbie Cartier - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust and Management, LTD, Eugene Zaderaka - Consent Order
Categories: Enforcement Actions
American Investment Services, Inc. - Proposed Order to Revoke Agent Registration
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Janene Haugen - Order to Vacate Cease and Desist Order
Categories: Enforcement Actions
American Investment Services, Inc. - Order to Amend Order for Rescission
Categories: Enforcement Actions
Telecom Action Entertainment, William Marlin & Co., Marlin, William B., Davis, William, Anthony, Dave - Cease and Desist Order
Categories: Enforcement Actions
Highbury Capital, Inc., Inner Technologies Corp, Howard, Scott N., Hoyt, Jeffrey C., Stogner, Ron - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Ken Howe - Order to Vacate Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Mark Couper - Order to Vacate Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Soren Sorenson - Order to Vacate Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Gene Armstrong, Pat Armstrong - Order to Vacate Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Kenneth Ryer - Order to Vacate Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Kyle Wurgler - Order to Vacate Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Raymond Van Bockel - Order to Vacate Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Brian Snowden - Order to Vacate Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Eric Maaske - Order to Vacate Cease and Desist Order
Categories: Enforcement Actions
Marion Bass Securities Corporation - Order to Revoke the Dealer Registration
Categories: Enforcement Actions
L. H. Ross & Co., Inc. - Proposed Order to Refuse Dealer Registration
Categories: Enforcement Actions
Marion Bass Securities Corporation - Order for Summary Suspension of the Dealer Registration
Categories: Enforcement Actions
Advanced Technology Feasibility Group, LLC, Bruce W. Anderson , Rodney Anderson - Order to Vacate Cease and Desist Order
Categories: Enforcement Actions
Alberta Diamondfields, Inc., Gerpal S. Shokar , Angel Hung, Once Again Resale for Men & Women, David K. Gramlich, Maxum Investors Group - Cease and Desist Order
Categories: Enforcement Actions
Infinity Mining Venture, Inc., Maxum Investors Group, Gerald Coffman, Jasmer Shokar (Jimmy), Surjit S. Shokar (Steve), Andrew W. Lawrence - Cease and Desist Order
Categories: Enforcement Actions
Valley Honey Company, LLC, Kirschman, Rodney, Anderson, Rodney - Consent Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., David Martin, Kay Martin - Civil Penalty
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Velazques, Tracy - Civil Penalty
Categories: Enforcement Actions
Marion Bass Securities Corporation - Suspension--Proposed Order to Revoke
Categories: Enforcement Actions
Valley Honey Company, LLC, Rodney Kirschman, Rodney Anderson - Cease and Desist Order
Categories: Enforcement Actions
Advanced Technology Feasibility Group, LLC, Bruce W. Anderson, Rodney Anderson - Cease and Desist Order
Categories: Enforcement Actions
Provision, Inc., Provision, LLC, Randy Templeton, David Betting, Darla Betting - Cease and Desist Order
Categories: Enforcement Actions
Accord Insurance Co, Ltd., Carr, Graham, Wingham, Leslie, Wharram, Dominic - Consent Order
Categories: Enforcement Actions
Bison Capital, Inc., Medhus, Robert, Gugisberg, Peter, Fay, Brad, Larson, Christopher, Klubec, Christine - Agreement
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Tri-West Investment Club, Larry Eugene Slaubaugh - Cease and Desist Order
Categories: Enforcement Actions
Tri-West Investment Club, Wesley Leroy Hiller - Cease and Desist Order
Categories: Enforcement Actions
US Bancorp Piper Jaffray, Inc., Birmingham, Christopher - Consent Order
Categories: Enforcement Actions
Accord Insurance Co, Ltd., Graham Carr, Leslie Wingham, Dominic Wharram - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Raymond Van Bockel - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Rodney J. Duncklee - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Scott Renfandt - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Brian Snowden - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Todd Haskins - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Troy Borud - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Eric Maaske - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Gary Bryans - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Gerald Henry - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Kris Thorfinnson, Tana Thorfinnson - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Mike Morey - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Randy Bryans - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Richard L. Solberg - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Brian Henry - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Steve Tengesdal - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., David Martin, Kay Martin - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Galen Marsh - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Gerald Haskins - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Janene Haugen - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Ken Howe - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Kevin Martin - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Larry Borud - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Mark Couper - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Michael Hupka, Marlene Hupka - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Bev Elberg - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Tracy Velazques - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Donald Marsh - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Eugene Zaderaka - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., James I. Miller Jr. - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Keith Pierson - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Leon Borud - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Mark Peterson - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Ron Stafford - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Soren Sorensen - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Tony Kaut - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Dennis Skarphol - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Gene Armstrong, Pat Armstrong - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Jackie Schatz - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Jess Welstad - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Kenneth Ryer - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Kyle Wurgler - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Larry Skiftun - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Mark Dostert - Cease and Desist Order
Categories: Enforcement Actions
Preferred Trust & Management, Ltd., Mitchell Keiser - Cease and Desist Order
Categories: Enforcement Actions
Chase Investments, Ltd., Chase Investments of North America, Al Wilson - Cease and Desist Order
Categories: Enforcement Actions
Star Search 2000, Inc. a/k/a Talent Search 2000, $1,000000 Talent Search, Inc., Shari Nelson - Cease and Desist Order
Categories: Enforcement Actions
Schulz, Arnold James a/k/a Jim Schulz - Agent Suspension - Proposed Revocation
Categories: Enforcement Actions
Global Prosperity Group, The Global Leadership Council, The Institute of Global Prosperity, Dan Andersen, David Struckman, Zo LaMantia - Cease and Desist Order
Categories: Enforcement Actions
Frederick Wayne Keiser, Jr., Etoile Keiser, Preferred Trust & Management, Ltd., Tactical Investments, Ltd., Nassau Investors Group, Ltd., Concord Investments, Ltd., Ideal Group a/k/a 1M Group, F & E Consulting, LLC - Cease and Desist Order
Categories: Enforcement Actions
Schulz, Arnold James (Jim), Schulz, Todd James - Cease and Desist Order
Categories: Enforcement Actions
US Bancorp Piper Jaffray, Inc., Christopher Birmingham - Civil Penalty
Categories: Enforcement Actions
Grupo Inverso Rio Del Sol, Paul Enright, Kevin Mark Skow a/ka K. Mark Skow, Ronald Sparkman - Cease and Desist Order
Categories: Enforcement Actions
Advantage International Marketing a/k/a The Tax People a/k/a Renaissance Designer Gallery Products, Inc., Lee Christianson, Phyllis Christianson, Michael C. Cooper, Kori Koepke, Larry R. Martin, John MacNaught, Roger E. Smith - Cease and Desist Order
Categories: Enforcement Actions
Albemarle Investments, Limited, New Life Technologies, Inc., UPA, Inc., Mike Bierman, Todd Rooker, Patrick Alan Sanders, Stanley Schulman - Cease and Desist Order
Categories: Enforcement Actions
Ragen MacKenzie Investment Services, Inc., Richard Lawrence, Philip Wimer - Consent Order
Categories: Enforcement Actions
Private Gifting, Sharing Equally, For Kids, Inc., Randy Bertsch, Betty Holzer, Daniel Reimche, Betty Wahl, Carl Lamm, Raymond Kotchian, Robin Stene, Kristy Keller, Gered Keller - Cease and Desist Order
Categories: Enforcement Actions
Torrey Pines Securities, Inc., Harvey G. Leason A/K/A Glen Leason - Consent Order
Categories: Enforcement Actions
Elmer Reiner, Swift Advisory & Consulting, Inc., The Institute of Learning a/k/a The Institute of Learning and Biblical Studies - Cease and Desist Order
Categories: Enforcement Actions
Phoenix Telecom, LLC, Trinity Financial Group - Cease and Desist Order
Categories: Enforcement Actions
Peregrine Financials & Securities, Inc., Patrick Steven Jage - Consent Order
Categories: Enforcement Actions
Educate America Resource Network, Financial Planning Consultants, Gary E. Luckow, Scott W. Grant - Cease and Desist Order
Categories: Enforcement Actions
Craig Brown, New England International Surety, Inc., Joe Aguda, Aguda Financial Services, Inc., - Cease and Desist Order
Categories: Enforcement Actions
Baxter, Banks & Smith, Mikhail S. Shklovsky, Oleg A. Feldman, Francis McDermott, Maurizio V. Grammatica, Kevin J. Ruggiero, John Does 1-3 - Civil Penalty
Categories: Enforcement Actions
Friends N Freedom, Hansen, Vernon, Hansen, Darlene - Cease and Desist Order
Categories: Enforcement Actions
Friends N Freedom, Hansen, Scott, Hansen, Becky - Cease and Desist Order
Categories: Enforcement Actions
Friends N Freedom, Kirschman, Rodney, Kirschman, Judy - Cease and Desist Order
Categories: Enforcement Actions
Baxter, Banks & Smith, Mikhail S. Shklovsky, Oleg A. Feldman, Francis A. McDermott, Maurizio V. Grammatica, Kevin J. Ruggiero, John Does 1-3 - Administrative Complaint
Categories: Enforcement Actions
Attain Direct, Inc. f/k/a All-Tech Investment Group, Inc. - Proposed Order to Refuse Dealer Registration
Categories: Enforcement Actions
Friends N Freedom, Zenker, LaVerne, Zenker, Kay - Cease and Desist Order
Categories: Enforcement Actions
Friends N Freedom, LaVerne Zenker, Kay Zenker - Subpoena Duces Tecum
Categories: Enforcement Actions
Baxter, Banks & Smith, Shklovsky, Michael, Feldman, Alec - Cease and Desist Order
Categories: Enforcement Actions
Alliance Trust, Integrowth Financial Group, Clifton Wilkinson, Steve Hiltbrand - Cease and Desist Order
Categories: Enforcement Actions
Fordham Financial Management, Inc., Frank Patrick Marchione - Proposed Order to Refuse Dealer Registration
Categories: Enforcement Actions
Burt Bjur, New World International, a citizens group, Charles E. Thompson - Default Order
Categories: Enforcement Actions
Debt Management Club, Fair Tax, Renesa Leeds - Cease and Desist Order
Categories: Enforcement Actions
Agkota Holdings, Inc., International Joint Ventures Association, Preferred Home Loans, Founders Club, Inc., Verlin Swartzendruber, Terry Nitschke, Duane Moos, Norman Nitschke, William Ebele - Consent Order
Categories: Enforcement Actions
Agkota Holdings, Inc., International Joint Ventures Association, Preferred Home Loans, Founder's Club, Inc., Verlin Swartzendruber, Terry Nitschke, Duane Moos, Norman Nitschke, William Ebele - Consent Order
Categories: Enforcement Actions
The Station Corporation, Wayne Southam, Tonya Southam - Cease and Desist Order
Categories: Enforcement Actions
Santoro's Gourmet Foods, Inc., William G. Santoro - Cease and Desist Order
Categories: Enforcement Actions
First Fidelity Financial Corporation, Newport Financial Corporation, Exchange.Online, Inc., Bruce M. Follick - Cease and Desist Order
Categories: Enforcement Actions
Microvision Systems Corporation, Interactive Acquisition Master, Inc., Camry Consulting Services, Inc., Millennium Networks, Inc., Steve Lehner, Michael Hammerschmidt - Cease and Desist Order
Categories: Enforcement Actions
New World International, a citizens group, Charles E. Thompson - Cease and Desist Order
Categories: Enforcement Actions
Papa Holdings, Inc., The Ponzu Companies, Inc., Jonathan C. Papa, Ramon C. Papa III, Thomas L. Anderson, David M. Beneake, Kourosh Saroole, David J. Naughton - Consent Order
Categories: Enforcement Actions
McDowell International, Incorporated of Washington, McDowell Industries, Northern Plains Agriculture, Incorporated, Agsources, Incorporated, Matthew McDowell - Cease and Desist Order
Categories: Enforcement Actions
Commonwealth Capital Group, Inc., Octet Communications Corp., Albert Faivush - Consent Order
Categories: Enforcement Actions
Argent Securities, Inc. - Proposed Order to Refuse Dealer Registration
Categories: Enforcement Actions
Public Communications Services, Inc., Lon Finkelstein, Sharon Malkin - Cease and Desist Order
Categories: Enforcement Actions
Venture Funding Group, Inc., Thomas R. Meinders - Cease and Desist Order
Categories: Enforcement Actions
Meternet Corporation, Venture Funding Group, Inc., Thomas R. Meinders - Cease and Desist Order
Categories: Enforcement Actions
Wash n Shine Inc., Venture Funding Group Inc., Thomas R. Meinders - Cease and Desist Order
Categories: Enforcement Actions
Future Tech Developments, Inc., Venture Funding Group, Inc., Thomas R. Meinders - Cease and Desist Order
Categories: Enforcement Actions
Upward Industries, Inc., Venture Funding Group, Inc., Thomas R. Meinders - Cease and Desist Order
Categories: Enforcement Actions
Tri State Innkeepers, Inc., Venture Funding Group, Inc., Thomas R. Meinders - Cease and Desist Order
Categories: Enforcement Actions
Capital Management International, Ltd., Ronald Ratoff - Cease and Desist Order
Categories: Enforcement Actions
Papa Holdings, Inc., The Ponzu Companies, Inc., Jonathan C. Papa, Ramon C. Papa III, Thomas L. Anderson, David M. Beneakem, Kourosh Saroole, David J. Naughton - Cease and Desist Order
Categories: Enforcement Actions
American Investment Services, Inc., David R. Bjork - Notice of Civil Penalty
Categories: Enforcement Actions
Buckhorn Financial Services, Inc., SafeKeeping, Inc. - Cease and Desist Order
Categories: Enforcement Actions
The Piddler International Downline Building Co-op, The Sharing Funds Foundation, Eugene Henley - Cease and Desist Order
Categories: Enforcement Actions
Internet Casino Sports Gaming, LLC, Denis M. Benson - Cease and Desist Order
Categories: Enforcement Actions
HJB, Inc., Dakota Utilities, Inc., Gerold Busche, Craig Dallman, Ron Thompson, Lee Schobinger, Shirley Prigge, Loraine Zuber - Cease and Desist Order
Categories: Enforcement Actions
AgKota Holdings, Inc., International Joint Ventures Association, Preferred Home Loans, Founder's Club, Inc., Verlin Swartzendruber, Terry Nitschke, Duane Moos, Norm Nitschke, William Ebele - Cease and Desist Order
Categories: Enforcement Actions
Global Prosperity Group, The Global Leadership Council, Larry Gabel, John Hoffman, B. J. Bishop - Cease and Desist Order
Categories: Enforcement Actions
Global Prosperity Group, Global Leadership Council, Paul Whealy - Cease and Desist Order
Categories: Enforcement Actions
The Gold Lead Pool , A-Z Systems, Alexei Zoubov, Julie Frahm, Richard Frahm - Cease and Desist Order
Categories: Enforcement Actions
Global Prosperity Group, Global Leadership Council, Dave Lozier, Cindy Lozier, Elizabeth Riley, Dael A. Chapman, Shoshanna Szuch, Jeff Eichinger, Ione Weatherby - Cease and Desist Order
Categories: Enforcement Actions
For Champions Only, The Winner's Circle, Tom Kincaid - Cease and Desist Order
Categories: Enforcement Actions
The Piddler International Downline Building Co-Op, The Sharing Funds Foundation, Eugene Henley, Frank Molonar, Ronald Readling - Cease and Desist Order
Categories: Enforcement Actions
Prosper International League, Ltd., Prosper International, Ltd., Universal Marketing, Charles Miller - Cease and Desist Order
Categories: Enforcement Actions
International Benevolence Fund Trust, Frank R. Johnson - Cease and Desist Order
Categories: Enforcement Actions
ECAP Financial Investment Banking, Inner Systems Industries, Inc., Marie Fortune, William Mueger - Cease and Desist Order
Categories: Enforcement Actions
Centex Securities, Inc. f/k/a La Jolla Securities Corporation, Bruce A. Biddick - Consent Order
Categories: Enforcement Actions
Arrow Environmental Remediation Operations, Hank M. Kendrick - Cease and Desist Order
Categories: Enforcement Actions
Michael C. Parke, Michael C. Parke Management Services, Inc. - Findings of Fact, Conclusions of Law
Categories: Enforcement Actions
Investment Management and Research, Inc., David Rothchild - Consent Order
Categories: Enforcement Actions
Eleventh Hour, Inc., American Consolidated Growth Corporation, Norman L. Fisher, Gary Flater - Consent Order
Categories: Enforcement Actions
Centex Securities, Inc. f/k/a La Jolla Securities Corporation, Bruce A. Biddick - Order
Categories: Enforcement Actions
Financial Advantage Brokerage Services, Inc., Bradley Wells, Bruce Hager - Consent Order
Categories: Enforcement Actions
Financial Advantage Brokerage Services, Inc., AISCO Holdings, Ltd. - Revocation of Exemption
Categories: Enforcement Actions
Eleventh Hour, Inc., American Consolidated Growth Corporation, Norman L. Fisher, Valerie Fisher, Gary Flater, Cory Copage -
Categories: Enforcement Actions
Fact Gold Technologies Canada, Ltd., Gig International Resources, Inc., Richard Furrer, Ward Hughes, Phil Wilford, Steve Chan - Cease and Desist Order
Categories: Enforcement Actions
Kidztime TV, Dennis Johnson, Capital Funding and Financial Group, Inc. - Cease and Desist Order
Categories: Enforcement Actions
Celebrity Foods, Inc., Tri-Bradley Investments - Cease and Desist Order
Categories: Enforcement Actions
Raoul Brandt, Royal Crown Corporation, American Investment Services, Inc., Brandt Brokerage House - Cease and Desist Order
Categories: Enforcement Actions
Donald O. Atuegbu, Nigerian National Petroleum Corporation - Cease and Desist Order
Categories: Enforcement Actions
Nigerian National Petroleum Corporation, Central Bank of Nigeria, Alhaji D. Bayero - Cease and Desist Order
Categories: Enforcement Actions
FACT Companies, Richard Furrer, Janelle Furrer, Ward Hughes, Joseph M. Malloy, James Herbst, Darreld Kartes - Cease and Desist Order
Categories: Enforcement Actions
Murchison Investment Bankers, Inc., Burll Dean Murchison, Richard Alan Murchison, James Roland Arnold, Lee Edward Burton -
Categories: Enforcement Actions
A.G. Edwards & Sons, Inc., Cameron Erickson, Unitech Industries, Inc. - Order for Hearing
Categories: Enforcement Actions
Gary Swernik, Dana Bersch a/k/a Frank Bersch, Boulder, Inc. d/b/a Yu-Chu's, Ed Foo Yung's Inc. a/k/a Ed Foo Yung's Ltd. - Notice of Right to Request Hearing
Categories: Enforcement Actions
Gary Swernik, Dana Bersch a/k/a Frank Bersch, Boulder, Inc. d/b/a Yu-Chu's, Ed Foo Yung's Inc. a/k/a Ed Foo Yung's Ltd. - Order for Hearing
Categories: Enforcement Actions
Premier Capital Investment, J.R. Munoz, Information Network Technology Partners III, Strategic Investor, Steven Harrell - Cease and Desist Order
Categories: Enforcement Actions
U. S. Wireless, Mark Silberman, Harry Kaiser, Sheldon Ziskind - Order to Cancel Hearing
Categories: Enforcement Actions
U. S. Wireless, Mark Silberman, Harry Kaiser, Sheldon Ziskind - Consent Order
Categories: Enforcement Actions
Merrill Lynch, John D. McCroskey - Notice of Right to Request Hearing
Categories: Enforcement Actions
Z3 Capital Holding Corporation, Stella Bella Corporation USA, Jack Broberg, Mark Scialdone, Becky Pepper, Steven Zubkis, Marcus O'Neal - Cease and Desist Order
Categories: Enforcement Actions
Eleventh Hour, Inc., American Consolidated Growth Corporation - Order for Hearing
Categories: Enforcement Actions
Recomm International Display, Atel Business Credit, Finova Capital Corporation - Cease and Desist Order
Categories: Enforcement Actions
Eleventh Hour, Inc., American Consolidated Growth Corporation - Cease and Desist Order
Categories: Enforcement Actions
Norfolk Securities Corp. - Proposed Order to Refuse Agent Registration
Categories: Enforcement Actions
Murchison Investment Bankers, Inc., Burll Dean Murchison, Richard Alan Murchison, James Roland Arnold, Lee Edward Burton - Cease and Desist Order
Categories: Enforcement Actions
Charleston Interactive Television Partners, Digital Interactive Associates, Inc., Carlo Anneke, an individual, Vikki Lucas, an individual - Cease and Desist Order
Categories: Enforcement Actions
Gold Unlimited, Inc., David Crowe, an individual, Martha Crowe, an individual - Cease and Desist Order
Categories: Enforcement Actions
Nation Wide Wireless Corporation a/k/a NationWide Wireless Corporation, Philip Caratozzolo, Greater Columbia Basin Wireless Cable, LLC - Cease and Desist Order
Categories: Enforcement Actions
Quarter Call, Inc., Glenn Kendall, Tom C. Yost, Robert J. DiToro, Robert P. Carrigan, Dan S. Webb, J.R. Munoz, Premier Capital Investments - Cease and Desist Order
Categories: Enforcement Actions
Mid Valley Broadcasting, Inc., Charles Skip Rutledge, Jack Brush - Pre-Hearing Order
Categories: Enforcement Actions
Offerman & Company, Inc., The Offerman Group, Inc. - Notice of Right to Request Hearing
Categories: Enforcement Actions
Becki Anderson Warren, James W. Warren, Lawrence W. Warren - Notice of Right to Request Hearing
Categories: Enforcement Actions
Becki Anderson Warren, James W. Warren, Lawrence W. Warren - Order for Hearing
Categories: Enforcement Actions
Image Financial Network, Ltd., Joel Freezon - Cease and Desist Order
Categories: Enforcement Actions
Marathon Financial Program a/k/a Marathon Marketing, Jim Phipps, Randy Fraley, Gerald G. McCarthy - Cease and Desist Order
Categories: Enforcement Actions
Northeast Telecom, Inc., 3rd Mobile of Central New York - Cease and Desist Order
Categories: Enforcement Actions
TransAmerica Wireless Systems, Inc., TransAmerica Wireless Associates, Rod Weaver - Cease and Desist Order
Categories: Enforcement Actions
Kingswood Associates, Inc., Mortek Corporation, Robert Button, Berry Mitchell - Cease and Desist Order
Categories: Enforcement Actions
Richard F. Pinnow, Liberty International Networking Company - Cease and Desist Order
Categories: Enforcement Actions
Kenneth Finochiaro d/b/a Pre-cooked Pasta Company - Cease and Desist Order
Categories: Enforcement Actions
Theodore N. Youngquist d/b/a Youngquist Mine Development & Consultation, Inc., Wind River Mining Project II - Cease and Desist Order
Categories: Enforcement Actions
United Communications Ltd., a Texas Limited Liability Company, Al J. Gauert - Cease and Desist Order
Categories: Enforcement Actions
Betty Aleshire, Great Western Communications, Int'l - Cease and Desist Order
Categories: Enforcement Actions
Smart Industries, Inc., Life Crystals, Inc., Elliot Pierce - Cease and Desist Order
Categories: Enforcement Actions
Banner Fund International, Swiss Trade & Commerce Trust - Cease and Desist Order
Categories: Enforcement Actions
Express Communications, Inc., Reliable Cellular Consultants - Cease and Desist Order
Categories: Enforcement Actions
Trans-Global Trading Incorporated, Robert Bowin, Peter Greenwood - Cease and Desist Order
Categories: Enforcement Actions
Reach Exploration, Inc., Warren Wellborn, Paul Webb, David Dolph - Cease and Desist Order
Categories: Enforcement Actions
Equity Estates Galleries, Inc., Alex Pierce - Cease and Desist Order
Categories: Enforcement Actions
Montague-Weston Associates Limited, Wayne Ford, J. Petersen - Cease and Desist Order
Categories: Enforcement Actions
Productions Plus, Priscilla J. Deters, Charles Chuck Crosby - Cease and Desist Order
Categories: Enforcement Actions
Paragon International Communications, Inc., Buzz Gossage, C. B. Miller - Cease and Desist Order
Categories: Enforcement Actions
CanOdi International, Inc., Donald S. Dalman - Cease and Desist Order
Categories: Enforcement Actions
East-West Marketing, Inc., Vicki Capri, Arnold Winter, Thurston McKenzie - Cease and Desist Order
Categories: Enforcement Actions
Regency Collectibles, Inc., Bob Johnson, Jack Tischer - Cease and Desist Order
Categories: Enforcement Actions
International Exchange Board, Gene Young, Michael Simon - Cease and Desist Order
Categories: Enforcement Actions
Ratheal Companies, Rodney Ratheal, Stephen Mitchell - Cease and Desist Order
Categories: Enforcement Actions
MCM Marketing, Inc., McElton Skaggs, Connie Mac Skaggs, Wayne Stone - Cease and Desist Order
Categories: Enforcement Actions
Donex Resources, Inc., Jerry Woods, Ken Poindexter, Douglas Brown - Cease and Desist Order
Categories: Enforcement Actions
LABCO/ARBCO Electronics Inc., Robert Widner, Byrd Widner, Edward Widner, Gary Amos - Cease and Desist Order
Categories: Enforcement Actions
R. B. Marich & Co. Inc., Rudy Marich, Betty Jane Marich, Irving Hale, Robert L. Long -
Categories: Enforcement Actions
R. B. Marich & Co. Inc., Rudy Marich, Betty Jane Marich, Irving Hale, Robert L. Long - Cease and Desist Order
Categories: Enforcement Actions
Scorac, Incorporated DBA Verifiable Resources, Claud Lavender, J. Wayne Greer, James Fulkerson, Sam Furo - Cease and Desist Order
Categories: Enforcement Actions
J. T. Moran & Co., Inc., Nicholas Mariniello, Peter Edward Bulger - Cease and Desist Order
Categories: Enforcement Actions
Villa Petroleum Inc., Mack W. Knight III, Don Tatum, James L. Watts, C. W. Weaver - Cease and Desist Order
Categories: Enforcement Actions
Independent Financial, Eric Guichet, Gary Lowenthal - Cease and Desist Order
Categories: Enforcement Actions
Western Trading Group LTD, Sam Lessard, Richard Lindner, Mark Alexander - Cease and Desist Order
Categories: Enforcement Actions
American Gold Eagle, Inc., James H. Ridinger, - Cease and Desist Order
Categories: Enforcement Actions
American Gold Eagle, Inc., James H. Ridinger - Cease and Desist Order
Categories: Enforcement Actions
Natonal Communications Network, Pepper Isenhart - Cease and Desist Order
Categories: Enforcement Actions
Television Sales Corporation, Mark Glaser, Chris Abbott, Alan D. Mason - Cease and Desist Order
Categories: Enforcement Actions
National Communications Network, Pepper Isenhart - Cease and Desist Order
Categories: Enforcement Actions
Constitutional Communications, Inc., Stanley Weiner - Cease and Desist Order
Categories: Enforcement Actions