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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 the capital formation process. 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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Are you an informed investor? Expense Ratios

Categories: Investor Alert

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

Fundrise Entities - Consent Order & Consent to Entry of Order

Categories: Enforcement Actions

LendingClub Corporation - Consent Order & Consent to Entry of Order

Categories: Enforcement Actions

Solium Financial Services LLC - 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 Alert

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

 

 

 


DHA Financial, LLC - Consent Order & Consent to Entry of Order

Categories: Enforcement Actions

Top Investor Threats for 2020


Informed Investor Advisory: Affinity Fraud

Categories: Investor Alert

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.


NASAA Releases 2019 Enforcement Report Based on 2018 Data


LPL Financial LLC - Consent Order

Categories: Enforcement Actions

NASAA Releases Annual Enforcement Report


Crystal Token and its Officers, Directors, Agents, and Employees - Cease and Desist Order

Categories: Enforcement Actions

Be Cautious of the Crypto Investment Craze

Categories: Investor Alert

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 Alert

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

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 Alert

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. 


Pennies to Paychecks Energizes North Dakota Students


Questar Capital Corporation - Settlement Agreement

Categories: Enforcement Actions

Susan L. Welo, Welo Wealth Management - Cease and Desist Order, Notice of Right to Request Hearing

Categories: Enforcement Actions

EB-5 Fraud: Immigrant Investors Beware

Categories: Investor Alert

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.


Escheatment: Do You Have Unclaimed Property Sitting with the Government?

Categories: Investor Alert

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.


SagePoint Financial, Inc. - Consent Agreement

Categories: Enforcement Actions

First Financial Equity Corporation - Agreement

Categories: Enforcement Actions

Small Business Advisory: Crowdfunding

Categories: Investor Alert

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 Alert

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 Alert

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 Alert

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.


Third-Party Asset Recovery Companies: Are They Advocating for You?

Categories: Investor Alert

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...


Investor Bulletin: Exchange Traded Notes (ETNs)

Categories: Investor Alert

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 Alert

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 Alert

At first glance, marijuanabinary 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.


Non-traded REITs

Categories: Investor Alert

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 Alert

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.


NASAA Releases Annual Enforcement Report

Report Indicates Seniors Remain a Top Target for Cons


Understanding Broker-Dealer Fees

Categories: Investor Alert

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 Alert

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.


Panda Trucking, LLC, Daniel E. Jenkins - Consent to Entry of Order, Consent Order

Categories: Enforcement Actions

Automated Investment Tools

Categories: Investor Alert

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.


Dempsey Lord Smith, LLC - Consent to Entry of Order, Consent Order

Categories: Enforcement Actions

HIGH-YIELD INVESTMENT PROGRAMS: Don't Get Roped In

Categories: Investor Alert

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.


Third-Party Custodians of Self-Directed IRAs and Other Qualified Plans

Categories: Investor Alert

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. 


Anti-Fraud Event for Seniors


J. P. Morgan Securities, LLC - Administrative Consent Order

Categories: Enforcement Actions

Landolt Securities, Inc. - Consent to Entry of Order, Consent Order

Categories: Enforcement Actions

Event: Investment Fraud Seminars to Be Held in 6 Cities


Virtual Currency

Categories: Investor Alert

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

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

Edwin Brent Lundgren - Order Refusing Registration as an Agent

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 Alert

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.


Energy Investments

Categories: Investor Alert

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.


Are You an Informed Investor? Financial Service Providers

Categories: Investor Alert

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.


Inland National Securities, Inc., David Theusch - Consent Order

Categories: Enforcement Actions

It was everything I had


Former North Dakota stockbroker gets 2 years in prison


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 Alert

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 Alert

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 Alert

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 Alert

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 Alert

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

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

Freedom USA Investing, LLC, James Young - Cease and Desist Order

Categories: Enforcement Actions

Scott L. Biggs - Cease and Desist Order

Categories: Enforcement Actions

STATEMENT OF POLICY REGARDING CHURCH BONDS


REGISTRATION OF COMMODITY POOL PROGRAMS


REGISTRATION OF ASSET-BACKED SECURITIES


Hartford Equity Sales Company Inc., Craig H. Miller - Consent Order, Consent to Entry of Order

Categories: Enforcement Actions

Alan Bernhagen - 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

Core Funding Group, L.P., Thomas F. Emmick - Cease and Desist 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

RESOLVE TO CHECK BEFORE YOU INVEST IN 2012


Ronald Dean Bennett d/b/a Ron Bennett Commercial Real Estate - Cease and Desist Order

Categories: Enforcement Actions

SECURITIES COMMISSIONER ISSUES CEASE AND DESIST ORDER


Brent Kitzan d/b/a Kitzan & Associates - Cease and Desist Order

Categories: Enforcement Actions

Associated Financial Services, Inc. - Order for Summary Suspension of the Dealer Registration

Categories: Enforcement Actions

R. Seelaus & Co. Inc. - Consent Order

Categories: Enforcement Actions

Ross Owen Haugen - Plea Agreement

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.


TOP TRAPS LIST


ARE YOU AN INFORMED INVESTOR?


Raymond James & Associates, Inc., Raymond James Financial Services, Inc. - Administrative Consent Order

Categories: Enforcement Actions

Global 1 Consulting, LLC, Joe Suarez - Cease and Desist 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

Bio-Sunn, Inc., Lewis A. Bauer - Consent Order

Categories: Enforcement Actions

FORMER BROKER'S PROBATION REVOCATION AFFIRMED ON APPEAL


Michael Barukhin - Consent Agreement

Categories: Enforcement Actions

Pop N Go, Inc., Melvin J. Wyman - Cease and Desist Order

Categories: Enforcement Actions

Jason P. Fettig - Order Refusing Registration as an Agent

Categories: Enforcement Actions

Bradley James Stroup - Cease and Desist Order

Categories: Enforcement Actions

ND SECURITIES BRINGS MAD ABOUT MONEY TO SCHOOLS


David W. Torson - Cease and Desist Order

Categories: Enforcement Actions

STATE SECURITIES REGULATORS IDENTIFY TOP INVESTOR TRAPS


RAHFCO Management Group, LLC - Consent Order

Categories: Enforcement Actions

Goldman, Sachs & Co. - Administrative Consent Order

Categories: Enforcement Actions

Blue Investments, LLC, Travis Richey - Cease and Desist Order

Categories: Enforcement Actions

REGISTRATION DEADLINE FOR INVEST ND TEACHERS ACADEMY


FORMER BROKER CHARGED WITH THEFT AND SECURITIES FRAUD


Wells Fargo Investments, LLC - Administrative Consent Order

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

INVEST N.D. CELEBRATES 15TH ANNUAL TEACHERS ACADEMY


Que-Corp - Cease and Desist Order

Categories: Enforcement Actions

James R. Bullis, Montgomery, Goff & Bullis, P.C. - Consent to Entry of Order, Consent Order

Categories: Enforcement Actions

JP Morgan Chase & Co. - Administrative Consent Order

Categories: Enforcement Actions

Merrill Lynch, Pierce, Fenner & Smith Incorporated - Administrative Consent Order

Categories: Enforcement Actions

RBC Capital Markets Corporation - Administrative Consent Order

Categories: Enforcement Actions

REGISTRATION DEADLNE FOR INVEST ND TEACHERS ACADEMY


Prosper Marketplace, Inc. - Administrative Consent Order

Categories: Enforcement Actions

Pelican Development, L.L.C. - Consent Order

Categories: Enforcement Actions

Life Partners Inc. - Consent Order

Categories: Enforcement Actions

Wachovia Securities, LLC, Wachovia Capital Markets, LLC - Administrative Consent Order

Categories: Enforcement Actions

Citigroup Global Markets Inc. - Administrative Consent Order

Categories: Enforcement Actions

TEACHER ALERT - APPLY TO ATTEND INVEST NORTH DAKOTA


Jammie N. Avila - Consent Order

Categories: Enforcement Actions

SECURITIES DEPARTMENT CLARIFIES INTERNET FRAUD WARNING


STOCK MARKET GAME STUDENTS SHOW MORE FINANCIAL KNOWLEDGE


AUCTION RATE SECURITIES SETTLEMENTS


Jonathan Brewer, Cyprus Builders, Inc. - Cease and Desist Order

Categories: Enforcement Actions

SECURITIES COMMISSIONER WARNS OF INTERNET FRAUD


Inland National Securities, Inc., David Theusch, Keith Theusch - Consent Order

Categories: Enforcement Actions

Morgan Stanley & Co. Incorporated - Findings of Fact

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

Dorothy K. Schlabsz -

Categories: Enforcement Actions

Andrew Schwandt - Consent Order

Categories: Enforcement Actions

Thomas W. Woodard dba Woodward Financial -

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 - Stipulation for Amendment of Consent Order

Categories: Enforcement Actions

COORDINATED EXAMINATIONS IDENTIFY INVESTMENT DEFICIENCIES


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

Vivian V. Gwin - Order to Summarily Postpone the Approval of Respon

Categories: Enforcement Actions

LAS International, Ltd., Neil Whittey, Syver Vinje - Consent Order

Categories: Enforcement Actions

REGISTRATION DEADLINE FOR TEACHERS ACADEMY


LAS International, Ltd., Neil Whittey, Syver Vinje, (SEE JUNE 19TH CONSENT ORDER) -

Categories: Enforcement Actions

STATE STOCK MARKET GAME WINNERS ANNOUNCED


DALEY JOINS N.D. SECURITIES DEPARTMENT


Samuel G. Loumer, Michael Kramer - Consent Agreement

Categories: Enforcement Actions

CD Acquisition Group, LLC, David Mees - Consent Order

Categories: Enforcement Actions

SECURITIES DEPARTMENT ANNOUNCES STATE ESSAY WINNER


A. G. Edwards & Sons, Inc. - Consent Order

Categories: Enforcement Actions

SECURITIES DEPARTMENT ANNOUNCES STOCK MARKET GAME WINNERS


NEWS AND VIEWS NEWSLETTER


SECURITIES COMMISSIONER RECOVERS MONEY FOR INVESTORS


Piper Jaffray & Co. - Consent Order

Categories: Enforcement Actions

Wachovia Capital Markets, LLC - Consent Order

Categories: Enforcement Actions

Banker's Life and Casualty Company - Consent Order

Categories: Enforcement Actions

Philip Moshier - Consent Agreement

Categories: Enforcement Actions

Berthel Fisher and Company Financial Services, Inc., Timothy Hayden - Consent Order

Categories: Enforcement Actions

James Wahl - Consent Order

Categories: Enforcement Actions

Ready Cash, Inc., Donald Gehrig - Consent Agreement

Categories: Enforcement Actions

Lester Westgard - Consent Agreement

Categories: Enforcement Actions

TYLER NEW PRESIDENT-ELECT OF NASAA


ACAP Financial, Inc., Donald Fisher - Consent Agreement

Categories: Enforcement Actions

Lincoln Financial Advisors Corp. - Consent Agreement

Categories: Enforcement Actions

Investment Centers of America, Inc., Larry A. Fust - Consent Agreement

Categories: Enforcement Actions

MAD ABOUT MONEY PERFORMANCES TO REACH 1700 ND STUDENTS


Michael L. Puklich - Consent Order

Categories: Enforcement Actions

Capital Growth Financial, LLC, Ross O. Haugen -

Categories: Enforcement Actions

UNREGISTERED PROMISSORY NOTES HALTED


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

Piper Jaffray & Co., Brady Vollmers - Consent Order

Categories: Enforcement Actions

Anton Kunz, The ABC System - Cease and Desist Order

Categories: Enforcement Actions

National Forex Corp., Dennis Drake - Cease and Desist Order

Categories: Enforcement Actions

I2U, Inc., Harold Richard Mladek - Default Order

Categories: Enforcement Actions

TYLER TO MODERATE FORUM ON HEDGE FUND RETAILIZATION


James R. Bullis, Montgomery, Goff & Bullis, P.C. - Cease and Desist Order

Categories: Enforcement Actions

Dakota Payphone, LLC - Order to Revoke the Securities Registrations

Categories: Enforcement Actions

Thomas Weisel Partners, LLC - Administrative Consent Order

Categories: Enforcement Actions

Dakota Payphone, LLC -

Categories: Enforcement Actions

Kevin David Wells - Order to Revoke the Agent Registration

Categories: Enforcement Actions

Dominion Investments, Inc., Tony Adams - Cease and Desist Order

Categories: Enforcement Actions

I2U, Inc., Harold Richard Mladek - Cease and Desist Order

Categories: Enforcement Actions

Kevin David Wells -

Categories: Enforcement Actions

Dale F. Roehrich - Consent Order

Categories: Enforcement Actions

MAD ABOUT MONEY PERFORMANCES TO REACH 3500 ND STUDENTS


TYLER TO CHAIR NASAA ANNUAL CONFERENCE


CD Acquisition Corp., David Mees - Order for Civil Penalty

Categories: Enforcement Actions

Piper Jaffray & Co., Brady Vollmers - Notice of Civil Penalty

Categories: Enforcement Actions

Deutsche Bank Securities, Inc. - Administrative Consent Order

Categories: Enforcement Actions

A. G. Edwards & Sons, Inc., Daniel M. Schmidt - Notice of Civil Penalty

Categories: Enforcement Actions

Waddell & Reed, Inc. - Consent Order

Categories: Enforcement Actions

Pruco Securities, LLC - Consent Order

Categories: Enforcement Actions

PREPARING STUDENTS FOR THEIR FINANCIAL FUTURES


Government Benefit Services, Glen W. Finley, Jr. - Cease and Desist Order

Categories: Enforcement Actions

INVEST ND TEACHER REGISTRATION DEADLINE


Schwartz Investment Management Company, James Schwartz - Consent Order

Categories: Enforcement Actions

Dale F. Roehrich - Notice of Civil Penalty

Categories: Enforcement Actions

Assemblies of God Loan Fund - Consent Agreement

Categories: Enforcement Actions

Piper Jaffray & Co., Terry Millner - Consent Order

Categories: Enforcement Actions

OPPORTUNITY FOR NORTH DAKOTA TEACHERS


Capital Growth Financial, LLC - Consent Order

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

David A. Skjerven - Consent Order

Categories: Enforcement Actions

Capital Growth Financial, LLC - Notice of Civil Penalty

Categories: Enforcement Actions

Bruce A. Hager -

Categories: Enforcement Actions

FARGO AGENT DENIED REGISTRATION


Bison Capital Management, LLC - Proposed Order to Refuse Investment Advisor Registration

Categories: Enforcement Actions

Investment Advisory Services, Thomas H. Marsden - Consent Order

Categories: Enforcement Actions

R. T. Jones Capital Equities, Inc., Frank S. Ladner - Agreement

Categories: Enforcement Actions

Huntleigh Securities Corporation - Consent Agreement

Categories: Enforcement Actions

Drew A. Likness - Consent Order

Categories: Enforcement Actions

Investment Advisory Services, Thomas H. Marsden - Notice of Civil Penalty

Categories: Enforcement Actions

TYLER CHAIRS NASAA EDUCATION CONFERENCE


Piper Jaffray & Co., Jason Millner - Consent Order

Categories: Enforcement Actions

Delta Trust Investments, Inc., Chad H. Carlson - Consent Order

Categories: Enforcement Actions

Charles Archambault -

Categories: Enforcement Actions

NORTH DAKOTA TO RECEIVE $337,500.00 IN SETTLEMENT


INVESTOR ALERT FROM THE NORTH DAKOTA SECURITIES DEPARTMENT


GRAND FORKS BROKER SUSPENDED


Global eScience Corp., Virgil Hentz - Cease and Desist Order

Categories: Enforcement Actions

Ross Owen Haugen - Order for Summary Suspension of the Investment Advisor Registration

Categories: Enforcement Actions

InterSecurities, Inc., Richard Colling - Consent Order

Categories: Enforcement Actions

Berthel, Fisher & Company Financial Services, Inc., Lawrence W. Warren - Consent Order

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Larry Borud - Consent Order

Categories: Enforcement Actions

Preferred Trust and Management, LTD, Ron Stafford - Consent Order

Categories: Enforcement Actions

Preferred Trust and Management, LTD, Thomas Deschamp - Consent Order

Categories: Enforcement Actions

PREFERRED TRUST VICTIMS REPAID


TEACHERS ACADEMY REGISTRATION DEADLINE


Jeffrey Toft - Undertaking and Agreement

Categories: Enforcement Actions

Grainline.com, Scott D. Olson, Kent Sortland - Consent Order

Categories: Enforcement Actions

The (Wilson) Williams Financial Group, Inc., Sidney Mondschein - Undertaking and Agreement

Categories: Enforcement Actions

Principal Life Insurance Company - Consent Agreement

Categories: Enforcement Actions

INVEST NORTH DAKOTA TEACHERS' ACADEMY SCHEDULED


Preferred Trust and Management, LTD, Dick Schultz - Consent Order

Categories: Enforcement Actions

Tri-West Investment Club, Wesley Leroy Hiller - Consent Order

Categories: Enforcement Actions

Integrity Mutual Funds, Inc., ND Capital, Inc., Robert E. Walstad - Notice of Civil Penalty

Categories: Enforcement Actions

Preferred Trust and Management, LTD, Mark Dostert - Findings of Fact, Conclusions of Law

Categories: Enforcement Actions

Preferred Trust and Management, LTD, Larry Borud - 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

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

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

Preferred Trust and Management, LTD., Randy Bryans - Consent Order

Categories: Enforcement Actions

T.L. Secrest - Consent Order

Categories: Enforcement Actions

American Dream Systems, Inc., Coupon Connection of America, Inc. - Consent Order

Categories: Enforcement Actions

Thomas V. Kozlowski - Consent Order

Categories: Enforcement Actions

ASKAR, Corp. - Consent Order

Categories: Enforcement Actions

Gregory A. Grossman - Consent Order

Categories: Enforcement Actions

Preferred Trust and Management, Ltd., Dennis Skarphol - Consent Order

Categories: Enforcement Actions

OPERATOR OF NIGERIAN INVESTMENT SCHEME CONVICTED


Preferred Trust and Management, LTD, Galen Marsh - Consent Order

Categories: Enforcement Actions

Preferred Trust and Management, LTD, Donald Marsch - Consent Order

Categories: Enforcement Actions

CGF Securities, LLC, Ross Owen Haugen - Consent Order

Categories: Enforcement Actions

William L. Toft - Consent Order

Categories: Enforcement Actions

Bear, Stearns & Co. Inc. - Consent Order

Categories: Enforcement Actions

Preferred Trust and Management, LTD, Brian Henry - Consent Order

Categories: Enforcement Actions

Preferred Trust and Management, LTD, Gerald Henry - Consent Order

Categories: Enforcement Actions

Citigroup Global Markets Inc., f/k/a Salomon Smith Barney Inc. - Consent Order

Categories: Enforcement Actions

Craig F. Wollenburg, SPF Energy, Inc. - Consent Order

Categories: Enforcement Actions

Preferred Trust and Management, LTD, Mitchell Keiser - Consent Order

Categories: Enforcement Actions

Berthel, Fisher & Company Financial Services, Inc. - Consent Order

Categories: Enforcement Actions

Credit Suisse First Boston LLC, f/k/a Credit Suisse First Boston Corporation - Administrative Consent Order

Categories: Enforcement Actions

Morgan Stanley & Co. Incorporated - Administrative Consent Order

Categories: Enforcement Actions

J. P. Morgan Securities, Inc. - Administrative Consent Order

Categories: Enforcement Actions

U.S. Bancorp Piper Jaffray Inc. - 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

Goldman, Sachs & Co. - Consent Order

Categories: Enforcement Actions

Debra Ann Lund - Consent Order

Categories: Enforcement Actions

Possible Technologies, Inc. , A/k/A The Right Reason, Treacy Duerfeld -

Categories: Enforcement Actions

Lehman Brothers Inc. - Administrative Order

Categories: Enforcement Actions

Kent Johanneson - Consent Order

Categories: Enforcement Actions

Grainline.com, Inc., Scott D. Olson, Kent Sortland - Cease and Desist Order

Categories: Enforcement Actions

CGF Securities, LLC - Order to Vacate

Categories: Enforcement Actions

David C. Gess -

Categories: Enforcement Actions

CGF Securities, LLC - Order for Summary Suspension of the Dealer Registration

Categories: Enforcement Actions

Preferred Trust and Management, LTD, Gary L. Bryans - Consent Order

Categories: Enforcement Actions

Dulon, L.L.P. - Desist and Refrain Order

Categories: Enforcement Actions

Preferred Trust and Management, LTD, Troy Borud - Consent Order

Categories: Enforcement Actions

Edward D. Jones & Co., L.P., DeAnne Gierke - Consent Order

Categories: Enforcement Actions

Alliance Care, Inc., CGF Securities, LLC, Ross Owen Huagen - Consent Order

Categories: Enforcement Actions

Preferred Trust and Management, LTD, Jess Welstad -

Categories: Enforcement Actions

Preferred Trust and Management, LTD, Gerald Haskins - Consent Order

Categories: Enforcement Actions

Preferred Trust and Management, LTD., Michael Hupka -

Categories: Enforcement Actions

Preferred Trust and Management, LTD., Rodney J. Duncklee -

Categories: Enforcement Actions

TYLER APPOINTED


Preferred Trust and Management, LTD., Marlene Hupka - Consent Order

Categories: Enforcement Actions

Preferred Trust and Management, LTD., Richard L. Solberg - Consent Agreement

Categories: Enforcement Actions

Preferred Trust and Management, LTD., Keith Pierson -

Categories: Enforcement Actions

Preferred Trust and Management, LTD., James I Miller, Jr. -

Categories: Enforcement Actions

POTENTIAL SETTLEMENT DOLLARS FOR NORTH DAKOTA


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

Robert Woodward - Consent Order

Categories: Enforcement Actions

US Petroleum, LLC - Consent Agreement

Categories: Enforcement Actions

INVEST NORTH DAKOTA TEACHER SEMINAR SCHEDULED


Alliance Care, Inc., CGF Securities, LLC, Ross Owen Haugen - Cease and Desist Order

Categories: Enforcement Actions

APRIL IS SAVING AND INVESTING MONTH IN NORTH DAKOTA


Golden Eagle Oil, James McDaniel - Cease and Desist Order

Categories: Enforcement Actions

Ross Owen Haugen - Consent Order

Categories: Enforcement Actions

MDVIP, Inc. - Settlement Agreement

Categories: Enforcement Actions

Capital Growth Real Estate Partners of Miami, LLC, CGF Securities, LLC, Ross Owen Haugen - Consent Order

Categories: Enforcement Actions

EPCOM, Ltd., Eldon P. Anderson - Cease and Desist Order

Categories: Enforcement Actions

STOCK MARKET GAME WINNERS ANNOUNCED


American Capital Corporation - Consent Order

Categories: Enforcement Actions

TYLER APPOINTED BY NASAA


Craig F. Wollenburg, SPF Energy, Inc. - Order to Suspend Agent Registration

Categories: Enforcement Actions

U. S. Petroleum, LLC, MEA Services - Cease and Desist Order

Categories: Enforcement Actions

Henry Foods, Inc. d/b/a Delimax - Consent 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

Forex Capital Group, LLC, Alaron FX, John Normanton - Cease and Desist Order

Categories: Enforcement Actions

TOP TEN INVESTMENT FRAUDS ANNOUNCED


Henry Foods, Inc. d/b/a DeliMax - Desist and Refrain Order

Categories: Enforcement Actions

Ross Owen Haugen - Registration Agreement

Categories: Enforcement Actions

Preferred Trust and Management, LTD, Eugene Zaderaka - Consent Order

Categories: Enforcement Actions

Michael J. Brooks -

Categories: Enforcement Actions

Carret Securities, LLC - Consent Order

Categories: Enforcement Actions

Carr Futures - Registration Agreement

Categories: Enforcement Actions

American Investment Services, Inc. -

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

American Investment Services, Inc. - Order for Rescission

Categories: Enforcement Actions

L.H. Ross & Co., Inc. - Consent Order

Categories: Enforcement Actions

Engine Electronics, Inc. - Consent Order

Categories: Enforcement Actions

First Montauk Securities Corp. - Consent Order

Categories: Enforcement Actions

Shari Nelson -

Categories: Enforcement Actions

United Methodist Development Fund - Consent Order

Categories: Enforcement Actions

Jeff Nelson - Consent Order

Categories: Enforcement Actions

Gurpal S. Shokar -

Categories: Enforcement Actions

Angel Hung, Once Again Resale for Men & Women, -

Categories: Enforcement Actions

Surjit S. Shokar a/k/a Steve Shokar -

Categories: Enforcement Actions

Jasmer Shokar a/k/a Jimmy Shokar -

Categories: Enforcement Actions

GunnAllen Financial, Inc. - Consent 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., Soren Sorenson - Order to Vacate Cease and Desist Order

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., David Martin, Kay Martin -

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Eric Maaske - 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., 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

Learn2Distribution.com, Inc., Sean Correia - 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

R. Lang Construction, Inc. - Consent Order

Categories: Enforcement Actions

BrokerageAmerica, Inc. - Consent Order

Categories: Enforcement Actions

K-Ram Industries, Robert Pagan - Order

Categories: Enforcement Actions

Marion Bass Securities Corporation - Order for Summary Suspension of the Dealer Registration

Categories: Enforcement Actions

Effective Sport Nutrition Corporation - Consent Order

Categories: Enforcement Actions

Dakota Imaging, Inc. - Consent Order

Categories: Enforcement Actions

Riverside RV Rentals, Inc. - Consent Order

Categories: Enforcement Actions

Viper Acquisition, LLC - Consent Order

Categories: Enforcement Actions

ADM Enterprises, Inc. - Consent Order

Categories: Enforcement Actions

Dig-It Underground, Inc. - Consent Order

Categories: Enforcement Actions

Valley Honey Company, LLC, Kirschman, Rodney, Anderson, Rodney - Consent Order

Categories: Enforcement Actions

OptionsXpress - Consent Order

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Ryer, Kenneth - Civil Penalty

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Velazques, Tracy - Civil Penalty

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., David Martin, Kay Martin - 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

BrokerageAmerica, Inc. - 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

K-Ram Industries, Robert Pagan - Desist and Refrain Order

Categories: Enforcement Actions

Sparkman, Ronald - Consent Order

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Morey, Michael - Consent Order

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Renfandt, Scott -

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

Preferred Trust & Management, Ltd., Elberg, Bev - Consent Order

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Schatz, Jackie - Consent Order

Categories: Enforcement Actions

Trinity Financial Group, LLC - Cease and Desist 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., 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., Bev Elberg - 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

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., 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., 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., 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., 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

Osland, Michael J. - Consent Order

Categories: Enforcement Actions

Archambault, Charles - Consent Order

Categories: Enforcement Actions

Chase Investments, Ltd., Chase Investments of North America, Al Wilson - Cease and Desist Order

Categories: Enforcement Actions

Hausauer, Dirk P. - Consent Order

Categories: Enforcement Actions

Jorve, Wayne - Consent Order

Categories: Enforcement Actions

Schulz, Todd James - Agent Suspension - Proposed Revocation

Categories: Enforcement Actions

Schulz, Arnold James a/k/a Jim Schulz - Agent Suspension - Proposed Revocation

Categories: Enforcement Actions

Arizona Capital Group, Inc., Pittman, Samuel - Consent Agreement

Categories: Enforcement Actions

Frederick W. Keiser, Jr. - Cease and Desist Order

Categories: Enforcement Actions

Schulz, Arnold James (Jim), Schulz, Todd James - Cease and Desist Order

Categories: Enforcement Actions

New Life Technologies, Inc. - Civil Penalty

Categories: Enforcement Actions

Mike Bierman - Civil Penalty

Categories: Enforcement Actions

Todd Rooker - Civil Penalty

Categories: Enforcement Actions

U.P.A., Inc. - Civil Penalty

Categories: Enforcement Actions

US Bancorp Piper Jaffray, Inc., Christopher Birmingham - Civil Penalty

Categories: Enforcement Actions

New England International Surety - Civil Penalty

Categories: Enforcement Actions

Josephthal & Co., Inc., James Gus Oliver -

Categories: Enforcement Actions

Dirk P. Hausauer - Civil Penalty

Categories: Enforcement Actions

Craig Brown - Consent Order

Categories: Enforcement Actions

Joe Aguda, Aguda Financial Services, Inc. - Consent Order

Categories: Enforcement Actions

Ragen MacKenzie Investment Services, Inc., Richard Lawrence, Philip Wimer - Consent Order

Categories: Enforcement Actions

Phoenix Telecom, L.L.C., Trinity Financial Group -

Categories: Enforcement Actions

Gerard Cerullo - Consent Order

Categories: Enforcement Actions

Baxter, Banks & Smith, Ltd., Francis M. McDermott - Consent Order

Categories: Enforcement Actions

The Bobwhite Company, Bob White - Cease and Desist Order

Categories: Enforcement Actions

Torrey Pines Securities, Inc., Harvey G. Leason A/K/A Glen Leason - Consent Order

Categories: Enforcement Actions

Craig Brown - Civil Penalty

Categories: Enforcement Actions

Emily Water & Beverage Co., Inc. - Civil Penalty

Categories: Enforcement Actions

Joe Aguda, Aguda Financial Services, Inc. - Civil Penalty

Categories: Enforcement Actions

Rick Wallace, Private Assets.com - Cease and Desist Order

Categories: Enforcement Actions

Linsco Private Ledger Corp. - Consent Agreement

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

Wayne Jorve - Cease and Desist Order

Categories: Enforcement Actions

Josephthal & Co., Inc., James Gus Oliver - Cease and Desist Order

Categories: Enforcement Actions

William Ebele - Civil Penalty

Categories: Enforcement Actions

Emily Water & Beverage Co., Inc. - Desist and Refrain Order

Categories: Enforcement Actions

Charles Schwab & Co., Inc. - Consent Agreement

Categories: Enforcement Actions

Copeland Equities, Inc. - Consent Agreement

Categories: Enforcement Actions

Kenneth Lynn Copen - Consent Order

Categories: Enforcement Actions

Sunpoint Securities, Inc. -

Categories: Enforcement Actions

Debt Management Club - Consent Order

Categories: Enforcement Actions

ESI, Rogers, Ralph W., III - Cease and Desist Order

Categories: Enforcement Actions

Friends N Freedom, Davis, Norma - Cease and Desist Order

Categories: Enforcement Actions

Friends N Freedom, Kirschman, Rodney, Kirschman, Judy - Cease and Desist Order

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, Davis, Ruth - Cease and Desist Order

Categories: Enforcement Actions

Friends N Freedom, LaVerne Zenker, Kay Zenker - Default Order

Categories: Enforcement Actions

Fordham Financial Management, Inc. - Denial of Application

Categories: Enforcement Actions

Edward Oliver Samuelson -

Categories: Enforcement Actions

Attain Direct, Inc. f/k/a All-Tech Investment Group, Inc. - Proposed Order to Refuse Dealer Registration

Categories: Enforcement Actions

Leuthold Funds, Inc. - Consent Order

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

Integrowth Financial Group - Civil Penalty

Categories: Enforcement Actions

Bisys Brokerage Services, Inc. - Consent Order

Categories: Enforcement Actions

Alliance Trust, Clifton Wilkinson - Civil Penalty

Categories: Enforcement Actions

Steve Hiltbrand - Civil Penalty

Categories: Enforcement Actions

Kenneth Lynn Copen - Civil Penalty

Categories: Enforcement Actions

Baxter, Banks & Smith, Shklovsky, Michael, Feldman, Alec - Cease and Desist Order

Categories: Enforcement Actions

Edward Weeks - Registration Agreement

Categories: Enforcement Actions

Popular Link, Jeff Cheng - Cease and Desist Order

Categories: Enforcement Actions

James Newton Darwin, II - Consent Order

Categories: Enforcement Actions

Burt Bjur, New World International, a citizens group, Charles E. Thompson - Default Order

Categories: Enforcement Actions

R. Seelaus & Co., Inc. - Consent Order

Categories: Enforcement Actions

Santoro's Gourmet Foods, Inc. - Civil Penalty

Categories: Enforcement Actions

Debt Management Club, Fair Tax, Renesa Leeds - Cease and Desist Order

Categories: Enforcement Actions

William Santoro - Civil Penalty

Categories: Enforcement Actions

Verlin Swartzendurber - Notice of Default, Default Order

Categories: Enforcement Actions

Alliance Trust, Clifton Wilkinson - Cease and Desist Order

Categories: Enforcement Actions

Ramon C. Papa, III - Civil Penalty

Categories: Enforcement Actions

Papa Holdings, Inc. - Civil Penalty

Categories: Enforcement Actions

AMS Financial Corporation - Civil Penalty

Categories: Enforcement Actions

Thomas L. Anderson - Civil Penalty

Categories: Enforcement Actions

Kourosh Saroole - Civil Penalty

Categories: Enforcement Actions

Allen Halstead - Civil Penalty

Categories: Enforcement Actions

Jonathan C. Papa - Civil Penalty

Categories: Enforcement Actions

David J. Naughton - Civil Penalty

Categories: Enforcement Actions

The Ponzu Companies, Inc. - Civil Penalty

Categories: Enforcement Actions

David M. Beneake - Civil Penalty

Categories: Enforcement Actions

Kerlin Securities, Inc. - Consent Agreement

Categories: Enforcement Actions

Nori, Hennion, Walsh, Inc., Jonathan N. Ponte - Consent Order

Categories: Enforcement Actions

Amerivet Securities, Inc. - Consent Agreement

Categories: Enforcement Actions

AMS Financial Corp., Allen Halstead - Subpoena Duces Tecum

Categories: Enforcement Actions

AMS Financial Corporation, Allen Halstead - Cease and Desist Order

Categories: Enforcement Actions

Equity Securities Investments, Inc. - Consent Order

Categories: Enforcement Actions

Internet Casino Sports Gaming - Civil Penalty

Categories: Enforcement Actions

Denis M. Benson - Civil Penalty

Categories: Enforcement Actions

The Station Corporation, Wayne Southam, Tonya Southam - Cease and Desist Order

Categories: Enforcement Actions

Bruce M. Follick - Civil Penalty

Categories: Enforcement Actions

First Fidelity Financial Corporation - Civil Penalty

Categories: Enforcement Actions

California Laser Company - Cease and Desist Order

Categories: Enforcement Actions

Santoro's Gourmet Foods, Inc., William G. Santoro - Cease and Desist Order

Categories: Enforcement Actions

First Financial Equity Corporation - Registration Agreement

Categories: Enforcement Actions

David Johnson - Notice of Civil Penalty

Categories: Enforcement Actions

Low Priced Stock Wealth - Notice of Civil Penalty

Categories: Enforcement Actions

David Johnson - Civil Penalty

Categories: Enforcement Actions

Low Priced Stock Wealth - Civil Penalty

Categories: Enforcement Actions

Mike T. McEnroe - Civil Penalty

Categories: Enforcement Actions

Kaizen International Consulting Corporation - Civil Penalty

Categories: Enforcement Actions

Red River Dispatch, Inc., Billy Johnson - Cease and Desist Order

Categories: Enforcement Actions

American Investment Services, Inc., David R. Bjork - Consent Order

Categories: Enforcement Actions

Amerivet Securities, Inc. - Civil Penalty

Categories: Enforcement Actions

Lon Finkelstein - Civil Penalty

Categories: Enforcement Actions

Low Priced Stock Wealth, David Johnson - Cease and Desist Order

Categories: Enforcement Actions

Bert Bjur - Cease and Desist Order

Categories: Enforcement Actions

Sharon Malkin - Notice of Civil Penalty

Categories: Enforcement Actions

Magnum Petroleum, Inc. - Notice of Civil Penalty

Categories: Enforcement Actions

New World International, a citizens group, Charles E. Thompson - Cease and Desist Order

Categories: Enforcement Actions

Public Communication Services, Inc. - Civil Penalty

Categories: Enforcement Actions

Jerry Nichter - Civil Penalty

Categories: Enforcement Actions

Pentad Securities, Inc., Warren B. True - Consent Order

Categories: Enforcement Actions

Safe Keeping, Inc. - Notice of Civil Penalty

Categories: Enforcement Actions

Steven L. Shook - Civil Penalty

Categories: Enforcement Actions

Michael Lee Mathis - Notice of Civil Penalty

Categories: Enforcement Actions

Buckhorn Financial Services, Inc - Notice of Civil Penalty

Categories: Enforcement Actions

Joseph K. Hilyard - Notice of Civil Penalty

Categories: Enforcement Actions

Creative Capital Management Corporation - Consent Order

Categories: Enforcement Actions

State Farm VP Management Corp. - Consent Order

Categories: Enforcement Actions

Commonwealth Capital Group, Inc., Octet Communications Corp., Albert Faivush - Consent Order

Categories: Enforcement Actions

William R. Richard - Consent Order

Categories: Enforcement Actions

Synovus Securities, Inc. - Consent Order

Categories: Enforcement Actions

Lenny Bierstein - Notice of Civil Penalty

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

Meternet Corporation, 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

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

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

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

Foreign Currency International - Cease and Desist Order

Categories: Enforcement Actions

Dirk P. Hausauer -

Categories: Enforcement Actions

Internet Casino Sports Gaming, LLC, Denis M. Benson - Cease and Desist Order

Categories: Enforcement Actions

Tradestar Investments, Inc. - Consent 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

For Champions Only, The Winner's Circle, Tom Kincaid - Cease and Desist Order

Categories: Enforcement Actions

Magnum Petroleum, Jerry Nichter - Cease and Desist Order

Categories: Enforcement Actions

Tradeway Securities Group, Inc. - Consent Order

Categories: Enforcement Actions

Temper of the Times Communications, Inc. - Consent Order

Categories: Enforcement Actions

Harvey Senn, Lutheran Brotherhood Securities Corporation -

Categories: Enforcement Actions

International Benevolence Fund Trust, Frank R. Johnson - 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

The Infinity Group Company, Geoff Benson - 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

Richard Tomitz - Consent Order

Categories: Enforcement Actions

Investment Management and Research, Inc., David Rothchild - Consent Order

Categories: Enforcement Actions

Centex Securities, Inc. f/k/a La Jolla Securities Corporation, Bruce A. Biddick - Order

Categories: Enforcement Actions

Daniel Wood -

Categories: Enforcement Actions

Financial Advantage Brokerage Services, Inc., Bradley Wells, Bruce Hager - Consent Order

Categories: Enforcement Actions

Prosperity Unlimited Trust, Annette Cain - Cease and Desist Order

Categories: Enforcement Actions

Raoul Brandt - Consent Order

Categories: Enforcement Actions

La Jolla Securities Corporation, Daniel Wood - Consent Order

Categories: Enforcement Actions

Financial Advantage Brokerage Services, Inc., AISCO Holdings, Ltd. - Revocation of Exemption

Categories: Enforcement Actions

USA Financial News, James Bartel - Consent Order

Categories: Enforcement Actions

David Stavig -

Categories: Enforcement Actions

Furniture Medic Limited Partnership, Kevin Schmitcke -

Categories: Enforcement Actions

Prince Dr. Augustine Ayuba - Cease and Desist Order

Categories: Enforcement Actions

Information Processing Office - Order to Amend Cease and Desist

Categories: Enforcement Actions

Kidztime TV, Dennis Johnson, Capital Funding and Financial Group, Inc. - Cease and Desist Order

Categories: Enforcement Actions

Bob Ivensen, Sunward Club - Cease and Desist Order

Categories: Enforcement Actions

Celebrity Foods, Inc., Tri-Bradley Investments - Cease and Desist Order

Categories: Enforcement Actions

Donald O. Atuegbu, Nigerian National Petroleum Corporation - Cease and Desist Order

Categories: Enforcement Actions

Vern Van Ornum - 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

Information Processing Office - Cease and Desist Order

Categories: Enforcement Actions

Joseph F. Desanto, Joseph Roberts & Co., Inc. - Revocation Order

Categories: Enforcement Actions

A.G. Edwards & Sons, Inc., Cameron Erickson, Unitech Industries, Inc. - Order for Hearing

Categories: Enforcement Actions

Gruntal & Co., Inc. - Consent Order

Categories: Enforcement Actions

Dent Busters, Inc., Bill Tyson - Cease and Desist Order

Categories: Enforcement Actions

The Ellis Group, Frank Ellis, CEO - 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 - Order for Hearing

Categories: Enforcement Actions

Merrill Lynch, John D. McCroskey - Notice of Right to Request Hearing

Categories: Enforcement Actions

Central Bank of Nigeria, Dr. O. Chimezie - Cease and Desist Order

Categories: Enforcement Actions

Engineer Sunday Bari Saro Wiwa - Cease and Desist Order

Categories: Enforcement Actions

Trans-American Ostrich Traders, Inc. - Cease and Desist Order

Categories: Enforcement Actions

Eleventh Hour, Inc., American Consolidated Growth Corporation - Order for Hearing

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

Gruntal & Co., Inc., Robert Goldstein - Order for Hearing

Categories: Enforcement Actions

The Oxford Club, James Boxley Cooke - Cease and Desist Order

Categories: Enforcement Actions

Melvin C. Klindt, Berean Non-Profit Corporation - Consent Order

Categories: Enforcement Actions

The Principality of Hutt River Province - Cease and Desist Order

Categories: Enforcement Actions

M.D. Rothchilds - Cease and Desist Order

Categories: Enforcement Actions

Group Dynamics Downline - 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

Alhaji Jubril Umar - Cease and Desist Order

Categories: Enforcement Actions

Metropolitan Mortgage & Securities Co., Inc. - Suspension Order

Categories: Enforcement Actions

Dayle Maloney - Order for Hearing

Categories: Enforcement Actions

First National Services, Marc A. Rona - Order for Hearing

Categories: Enforcement Actions

Toluca Pacific Securities Corp. - Order for Hearing

Categories: Enforcement Actions

Becki Anderson Warren, James W. Warren, Lawrence W. Warren -

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

First National Services - Cease and Desist Order

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

Sanford D. Greenberg -

Categories: Enforcement Actions

Telecom/Mobile Wireless Cable - Cease and Desist Order

Categories: Enforcement Actions

Reading Wireless Cable - 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

Continental Wireless Cable Television Inc. - Cease and Desist Order

Categories: Enforcement Actions

John Sebastian Ragazzo, Geneva Companies - 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

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

Kiowa Resources Inc., Robert Charles - Cease and Desist Order

Categories: Enforcement Actions

Health Excellence, T. C. Fry - Cease and Desist Order

Categories: Enforcement Actions

Banner Fund International, Swiss Trade & Commerce Trust - Cease and Desist Order

Categories: Enforcement Actions

Doug Nassif -

Categories: Enforcement Actions

Doug Nassif - Cease and Desist Order

Categories: Enforcement Actions

Leo Elroy Sjolseth -

Categories: Enforcement Actions

Leo Elroy Sjolseth - Cease and Desist Order

Categories: Enforcement Actions

Charles Edward Marean, Junior - Cease and Desist Order

Categories: Enforcement Actions

Express Communications, Inc., Reliable Cellular Consultants - Cease and Desist Order

Categories: Enforcement Actions

1st Equity International, Richard Gould - Cease and Desist Order

Categories: Enforcement Actions

Worldwide Treasure Bureau, Samuel E. Cox - 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

Financial Services Network, Paul Navestad - 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

Imperial World Trade Exchange, Ryan Blake - Cease and Desist Order

Categories: Enforcement Actions

Ratheal Companies, Rodney Ratheal, Stephen Mitchell - Cease and Desist Order

Categories: Enforcement Actions

Ratheal Companies, Rodney Ratheal, Stephen Mitchell -

Categories: Enforcement Actions

Mortgage Service Associates - Cease and Desist Order

Categories: Enforcement Actions

RMC Enterprises, Ralph G. McCoy - Cease and Desist Order

Categories: Enforcement Actions

The National CLub - Cease and Desist Order

Categories: Enforcement Actions

The Connoisseur of California - Cease and Desist Order

Categories: Enforcement Actions

OPC and Associates - Cease and Desist Order

Categories: Enforcement Actions

FAX-9, Rene Boutin - Cease and Desist Order

Categories: Enforcement Actions

Mark Steven Eiken -

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

Edward Robert McGlynn -

Categories: Enforcement Actions

J. T. Moran & Co., Inc., Nicholas Mariniello, Peter Edward Bulger - Cease and Desist Order

Categories: Enforcement Actions

EFJ Funds, Emanuel Fettig - Cease and Desist Order

Categories: Enforcement Actions

Western Trading Group LTD, Sam Lessard, Richard Lindner, Mark Alexander - Cease and Desist Order

Categories: Enforcement Actions

Independent Financial, Eric Guichet, Gary Lowenthal - Cease and Desist Order

Categories: Enforcement Actions

Carl's Furniture Barn, Carl H. Weisser - Cease and Desist Order

Categories: Enforcement Actions

American Gold Eagle, Inc., James H. Ridinger - Cease and Desist Order

Categories: Enforcement Actions

The Right Combination, Inc., Jim Silkwood, - Cease and Desist Order

Categories: Enforcement Actions

American Gold Eagle, Inc., James H. Ridinger, - Cease and Desist Order

Categories: Enforcement Actions

The Right Combination, Inc., Jim Silkwood - 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

Junction Financial Corp., Stanley Black - Cease and Desist Order

Categories: Enforcement Actions

Constitutional Communications, Inc., Stanley Weiner - Cease and Desist Order

Categories: Enforcement Actions

News Limit
5 (default)