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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 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: Trusted Contact

Wednesday, April 17, 2024

Categories: Investor Alerts and Advisories

Your financial firm may request that you give them the name and contact information of a “trusted contact.” While it is not mandatory that you do so, state securities regulators, the Securities and Exchange Commission, and FINRA encourage you to consider providing the name of someone you trust as a contact on your accounts.


Investor Alert: Scammers Posing as Brokers or Investment Advisers

Thursday, April 11, 2024

Categories: Investor Alerts and Advisories

Scammers may falsely claim to be registered with state securities regulators, the Securities and Exchange Commission (SEC), or the Financial Industry Regulatory Authority (FINRA) in order to lure investors into scams, or even impersonate real investment professionals who actually are registered with these organizations. 


Investor Alert: Self-Directed IRAs and the Risk of Fraud

Thursday, March 21, 2024

Categories: Investor Alerts and Advisories

Self-directed IRAs allow investment in a broader  and potentially riskier  portfolio of assets than other types of IRAs. Investors should be mindful that investing through self-directed IRAs raises risks, such as fraudulent schemes, high fees, and volatile performance.


Consent Order: Ireland & Sando, LLC, and Michael J. Rydell

Tuesday, March 12, 2024

Categories: Enforcement Actions

Administrative Consent Order


Investor Advisory: Romance Scams

Friday, February 9, 2024

Categories: Investor Alerts and Advisories

Dating apps and social media platforms have become popular ways 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 advisory discusses common tactics used in investment-related romance scams and what you can do to protect yourself.


Investor Alert: Artificial Intelligence (AI) and Investment Fraud

Tuesday, February 6, 2024

Categories: Investor Alerts and Advisories

The growing popularity and complexity of AI is being used to lure investors into scams. Look out for these red flags to help keep your money safe.


Consent Order: Jamieson Capital Financial, LLC, and Jeremy L. Carlson

Friday, January 12, 2024

Categories: Enforcement Actions

Administrative Consent Order


Cease and Desist Order: Taylor Orris Bang

Friday, December 15, 2023

Categories: Enforcement Actions

Cease and Desist Order, Order for Civil Penalty, and Notice of Right to Request a Hearing


Investor Advisory: Affinity Fraud

Wednesday, November 29, 2023

Categories: Investor Alerts and Advisories

Learn how to spot red flags and protect yourself from affinity fraud.


Investor Advisory: "Other People's Money" Investment Scams

Tuesday, November 14, 2023

Categories: Investor Alerts and Advisories

Investor Advisory: Celebrity Endorsements

Tuesday, August 15, 2023

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.


Order: Ireland & Sando LLC, and Michael J. Rydell

Thursday, July 27, 2023

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

Wednesday, July 19, 2023

Categories: Enforcement Actions

Cease and Desist Order, Notice of Civil Penalties, Order for Rescission, and Notice of Right to Request a Hearing


Robinhood Financial LLC

Wednesday, July 12, 2023

Categories: Enforcement Actions

Administrative Consent Order


North Dakota Securities Department Recognizes June 15 as World Elder Abuse Awareness Day

Wednesday, June 14, 2023

Categories: Investor Alerts and Advisories

Agridime LLC, a Texas limited liability company, and Joshua Link

Thursday, May 25, 2023

Categories: Enforcement Actions

Cease and Desist Order, Notice of Civil Penalty, and Notice of Right to Request a Hearing


Cattle Company Ordered to Stop Selling Unregistered Securities

Thursday, May 25, 2023

Categories: Enforcement Actions

Informed Investor Advisory: Account Takeover Fraud

Thursday, April 27, 2023

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

Monday, April 24, 2023

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


Final Order: Bio-Sunn Technologies, Inc., Lewis Bauer, Equity Fund International (EFI), Inc., and Christopher Williams

Thursday, February 9, 2023

Categories: Enforcement Actions

Findings of Fact, Conclusions of Law, and Final Order


Consent Order: Nexo Capital, Inc.

Monday, February 6, 2023

Categories: Enforcement Actions

Enforcement Order: Jamieson Capital Financial LLC, a North Dakota Limited Liability Company, and Jeremy L. Carlson

Thursday, December 22, 2022

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

Friday, November 4, 2022

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

Thursday, October 13, 2022

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"

Thursday, September 22, 2022

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

Thursday, August 4, 2022

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

Friday, July 29, 2022

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

Tuesday, July 26, 2022

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 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

Monday, July 18, 2022

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


Jamieson Capital Financial, LLC, a North Dakota limited liability company, and Jeremy L. Carlson

Monday, July 18, 2022

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


Investor Advisory: Credit Ratings

Wednesday, July 13, 2022

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

Tuesday, June 14, 2022

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

Monday, June 13, 2022

Categories: Investor Alerts and Advisories

Governor Burgum Issues Proclamation Recognizing World Elder Abuse Awareness Day on June 15.


Investor Advisory: ESG Investing

Friday, June 3, 2022

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

Tuesday, May 10, 2022

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.


BlockFi Lending LLC - Consent Order

Friday, April 22, 2022 at 12:01 pm

Categories: Enforcement Actions

Investor Advisory: Social Media, Online Trading and Investing

Monday, April 18, 2022

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

Tuesday, April 5, 2022

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

Tuesday, April 5, 2022

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

Tuesday, January 25, 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

Friday, January 14, 2022

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.


Securities Regulators Urge Investors to Establish a Trusted Contact to Increase Investor Protection

Tuesday, November 30, 2021 at 03:00 pm

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

Tuesday, June 1, 2021

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.


Fundrise Entities - Consent Order & Consent to Entry of Order

Friday, July 24, 2020

Categories: Enforcement Actions

LendingClub Corporation - Consent Order & Consent to Entry of Order

Tuesday, July 14, 2020

Categories: Enforcement Actions

Solium Financial Services LLC - Consent Order

Monday, June 22, 2020

Categories: Enforcement Actions

Notice Regarding Historical Financial Performance Representations During the COVID-19 Pandemic

Friday, June 19, 2020

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

Monday, June 8, 2020

In the Matter of: Electronic Filing of Securities Registration Applications, Notice Filings, and Exemption Filings.


New Franchise Disclosure Handbook Available from NASAA

Monday, May 11, 2020

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

Tuesday, May 5, 2020

***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

Friday, April 17, 2020

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

Monday, April 13, 2020

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

Thursday, April 2, 2020

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)

Friday, March 27, 2020

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

Monday, March 2, 2020

Categories: Enforcement Actions

Top Investor Threats for 2020

Tuesday, December 24, 2019


Informed Investor Advisory: Affinity Fraud

Tuesday, November 12, 2019

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.


LPL Financial LLC - Consent Order

Saturday, February 9, 2019

Categories: Enforcement Actions

NASAA Releases Annual Enforcement Report

Wednesday, October 17, 2018


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

Wednesday, October 10, 2018

Categories: Enforcement Actions

What to Know about ICOs

Thursday, May 17, 2018

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.


Be Cautious of the Crypto Investment Craze

Thursday, May 17, 2018

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.


H. Michael Hardy, RSE, Inc., and Hardy Management Group, LLC - Consent Order

Monday, February 26, 2018

Categories: Enforcement Actions

Securities Commissioner Reminds Investors to Approach Cryptocurrency with Caution

Thursday, January 4, 2018

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. 


Questar Capital Corporation - Settlement Agreement

Monday, July 31, 2017

Categories: Enforcement Actions

EB-5 Fraud: Immigrant Investors Beware

Tuesday, August 30, 2016

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.


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

Tuesday, August 30, 2016

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.


SagePoint Financial, Inc. - Consent Agreement

Friday, July 15, 2016

Categories: Enforcement Actions

First Financial Equity Corporation - Agreement

Monday, June 13, 2016

Categories: Enforcement Actions

Small Business Advisory: Crowdfunding

Thursday, May 26, 2016 at 11:05 am

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

Thursday, May 26, 2016

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

Wednesday, May 18, 2016 at 11:00 am

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!

Tuesday, April 5, 2016 at 11:00 pm

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.


NORTH DAKOTA SECURITIES DEPARTMENT RELEASES TOP INVESTOR THREATS

Wednesday, January 20, 2016

Categories: Human Services

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

Friday, December 11, 2015 at 11:00 pm

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

Monday, December 7, 2015

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)

Wednesday, December 2, 2015 at 11:01 am

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

Wednesday, December 2, 2015 at 11:00 am

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

Tuesday, November 24, 2015

Categories: Enforcement Actions

Be Wary of The Next Big Thing in Investments

Friday, November 20, 2015 at 11:00 am

Categories: Investor Alerts and Advisories

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.  


Cease and Desist issued against Paul De Bastos and North Dakota Bakken Connection

Friday, November 20, 2015

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.


ND Securities Commissioner Cautions Investors to Be Wary of 'The Next Big Thing' When it Comes to Investing

Friday, November 20, 2015

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.


Non-traded REITs

Wednesday, September 30, 2015 at 11:00 am

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

Wednesday, September 30, 2015 at 11:00 am

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.


NASAA Releases Annual Enforcement Report

Wednesday, September 30, 2015

Report Indicates Seniors Remain a Top Target for Cons


Understanding Broker-Dealer Fees

Friday, September 4, 2015 at 11:00 pm

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

Thursday, July 16, 2015 at 11:00 am

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.


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

Friday, June 12, 2015

Categories: Enforcement Actions

Automated Investment Tools

Friday, May 8, 2015 at 11:00 am

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

Wednesday, May 6, 2015

Categories: North Dakota Veterans' Home

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

Tuesday, January 20, 2015

Categories: Enforcement Actions

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

Wednesday, November 26, 2014 at 11:00 am

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.


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

Wednesday, November 26, 2014 at 11:00 am

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. 


Anti-Fraud Event for Seniors

Tuesday, November 25, 2014


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

Sunday, August 24, 2014

Categories: Enforcement Actions

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

Monday, July 28, 2014

Categories: Enforcement Actions

Virtual Currency

Wednesday, June 11, 2014 at 11:00 am

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


ATEL Securities Corporation - Consent to Entry of Order, Consent Order

Friday, May 9, 2014

Categories: Enforcement Actions

UBS Financial Services, Inc. - Consent to Entry of Order, Consent Order

Monday, October 14, 2013

Categories: Enforcement Actions

RBC Capital Markets, LLC - Consent to Entry of Order, Administrative Consent Order

Friday, September 27, 2013

Categories: Enforcement Actions

Edwin Brent Lundgren - Order Refusing Registration as an Agent

Friday, September 20, 2013

Categories: Enforcement Actions

Former Fargo Broker Sentenced In Operation of Ponzi Scheme

Friday, September 13, 2013

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

Sunday, September 1, 2013 at 11:00 am

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.


Energy Investments

Monday, July 1, 2013 at 11:00 am

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.


Are You an Informed Investor? Financial Service Providers

Wednesday, April 24, 2013 at 11:00 am

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.


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

Tuesday, April 16, 2013

Categories: Enforcement Actions

It was everything I had

Monday, March 18, 2013


Former North Dakota stockbroker gets 2 years in prison

Thursday, March 14, 2013 at 10:57 am


FORMER BROKER CHARGED WITH THEFT AND SECURITIES FRAUD

Monday, March 11, 2013

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? Exchange Traded Funds - ETFs

Thursday, March 7, 2013 at 11:00 am

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

Thursday, March 7, 2013 at 11:00 am

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

Thursday, March 7, 2013 at 11:00 am

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!

Thursday, March 7, 2013 at 11:00 am

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.


Are you an informed investor? Social Networking

Thursday, March 7, 2013 at 11:00 am

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?


Impact Energy, LLC, Eugene L. McArthur, Jr., Mike Ladue, Lynne Hanson - Consent Order

Tuesday, February 26, 2013

Categories: Enforcement Actions

UVEST Financial Services Group, Inc. - Consent Order

Monday, November 26, 2012

Categories: Enforcement Actions

ProEquities, Inc. - Consent Order

Friday, October 19, 2012

Categories: Enforcement Actions

Bankers Life and Casualty Company and BLC Financial Services, Inc. - Consent Order

Wednesday, October 17, 2012

Categories: Enforcement Actions

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

Tuesday, July 31, 2012

Categories: Enforcement Actions

Scott L. Biggs - Cease and Desist Order

Tuesday, July 3, 2012

Categories: Enforcement Actions

REGISTRATION OF COMMODITY POOL PROGRAMS

Tuesday, March 20, 2012


REGISTRATION OF ASSET-BACKED SECURITIES

Tuesday, March 20, 2012


Alan Bernhagen - Consent Order, Consent to Entry of Order

Monday, March 5, 2012

Categories: Enforcement Actions

Piper Jaffray & Co., Brady Vollmers - Consent Order, Consent to Entry of Order

Thursday, February 16, 2012

Categories: Enforcement Actions

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

Wednesday, February 8, 2012

Categories: Enforcement Actions

E*TRADE SECURITIES, LLC - Administrative Consent Order, Consent to Entry of Order

Wednesday, February 1, 2012

Categories: Enforcement Actions

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

Friday, January 13, 2012

Categories: Enforcement Actions

Associated Financial Services, Inc. - Order to Revoke the Dealer Registration

Thursday, January 12, 2012

Categories: Enforcement Actions

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

Wednesday, December 21, 2011

Categories: Enforcement Actions

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

Wednesday, December 14, 2011

Categories: Enforcement Actions

R. Seelaus & Co. Inc. - Consent Order

Friday, November 25, 2011

Categories: Enforcement Actions

Ross Owen Haugen - Plea Agreement

Monday, November 14, 2011

Categories: Enforcement Actions

ND SECURITIES BRINGS "MAD ABOUT MONEY" TO SCHOOLS

Monday, October 17, 2011

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

Monday, October 10, 2011


ARE YOU AN INFORMED INVESTOR?

Monday, October 10, 2011


A. J. Balfour & Group, Inc., Joseph L. Allen - Cease and Desist Order

Friday, July 15, 2011

Categories: Enforcement Actions

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

Friday, July 15, 2011

Categories: Enforcement Actions

Gibraltar Partners, Inc., Anthony John Johnson - Cease and Desist Order

Monday, May 23, 2011

Categories: Enforcement Actions

RAHFCO Management Group, LLC - Stop Order Summarily Suspending the Offer and Sale

Wednesday, May 4, 2011

Categories: Enforcement Actions

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

Friday, April 22, 2011

Categories: Enforcement Actions

Michael Barukhin - Consent Agreement

Monday, November 1, 2010

Categories: Enforcement Actions

Jason P. Fettig - Order Refusing Registration as an Agent

Monday, October 18, 2010

Categories: Enforcement Actions

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

Monday, October 18, 2010

Categories: Enforcement Actions

Bradley James Stroup - Cease and Desist Order

Friday, October 15, 2010

Categories: Enforcement Actions

ND SECURITIES BRINGS MAD ABOUT MONEY TO SCHOOLS

Wednesday, September 22, 2010


David W. Torson - Cease and Desist Order

Tuesday, September 14, 2010

Categories: Enforcement Actions

RAHFCO Management Group, LLC - Consent Order

Thursday, July 15, 2010

Categories: Enforcement Actions

Goldman, Sachs & Co. - Administrative Consent Order

Tuesday, June 22, 2010

Categories: Enforcement Actions

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

Tuesday, June 8, 2010

Categories: Enforcement Actions

Wells Fargo Investments, LLC - Administrative Consent Order

Friday, May 14, 2010

Categories: Enforcement Actions

UBS Securities, LLC, UBS Financial Services Inc. - Administrative Consent Order

Monday, April 26, 2010

Categories: Enforcement Actions

Stifel, Nicolaus & Company, Incorporated , , - Administrative Consent Order

Monday, April 12, 2010

Categories: Enforcement Actions

Que-Corp - Cease and Desist Order

Monday, March 29, 2010

Categories: Enforcement Actions

JP Morgan Chase & Co. - Administrative Consent Order

Monday, August 17, 2009

Categories: Enforcement Actions

RBC Capital Markets Corporation - Administrative Consent Order

Monday, June 22, 2009

Categories: Enforcement Actions

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

Monday, June 22, 2009

Categories: Enforcement Actions

Prosper Marketplace, Inc. - Administrative Consent Order

Tuesday, May 19, 2009

Categories: Enforcement Actions

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

Thursday, May 14, 2009

Categories: Enforcement Actions

Life Partners Inc. - Consent Order

Monday, April 6, 2009

Categories: Enforcement Actions

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

Wednesday, April 1, 2009

Categories: Enforcement Actions

Citigroup Global Markets Inc. - Administrative Consent Order

Wednesday, April 1, 2009

Categories: Enforcement Actions

Jammie N. Avila - Consent Order

Monday, March 23, 2009

Categories: Enforcement Actions

AUCTION RATE SECURITIES SETTLEMENTS

Wednesday, August 20, 2008


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

Friday, August 15, 2008

Categories: Enforcement Actions

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

Thursday, July 31, 2008

Categories: Enforcement Actions

Morgan Stanley & Co. Incorporated - Findings of Fact

Monday, July 21, 2008

Categories: Enforcement Actions

Dorothy K. Schlabsz -

Tuesday, June 3, 2008

Categories: Enforcement Actions

Andrew Schwandt - Consent Order

Tuesday, March 25, 2008

Categories: Enforcement Actions

Thomas W. Woodard dba Woodward Financial -

Monday, March 17, 2008

Categories: Enforcement Actions

Ashmore Family Foundation, Flint Ashmore, Monte R. Ashmore - Cease and Desist Order

Thursday, October 4, 2007

Categories: Enforcement Actions

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

Tuesday, June 26, 2007

Categories: Enforcement Actions

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

Tuesday, June 19, 2007

Categories: Enforcement Actions

Samuel G. Loumer, Michael Kramer - Consent Agreement

Tuesday, May 1, 2007

Categories: Enforcement Actions

CD Acquisition Group, LLC, David Mees - Consent Order

Saturday, March 3, 2007

Categories: Enforcement Actions

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

Tuesday, January 23, 2007

Categories: Enforcement Actions

NEWS AND VIEWS NEWSLETTER

Monday, January 1, 2007


Piper Jaffray & Co. - Consent Order

Monday, December 4, 2006

Categories: Enforcement Actions

Wachovia Capital Markets, LLC - Consent Order

Monday, December 4, 2006

Categories: Enforcement Actions

Banker's Life and Casualty Company - Consent Order

Friday, November 17, 2006

Categories: Enforcement Actions

Philip Moshier - Consent Agreement

Tuesday, November 7, 2006

Categories: Enforcement Actions

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

Tuesday, October 31, 2006

Categories: Enforcement Actions

Ready Cash, Inc., Donald Gehrig - Consent Agreement

Monday, October 30, 2006

Categories: Enforcement Actions

James Wahl - Consent Order

Monday, October 30, 2006

Categories: Enforcement Actions

Lester Westgard - Consent Agreement

Monday, October 23, 2006

Categories: Enforcement Actions

TYLER NEW PRESIDENT-ELECT OF NASAA

Wednesday, October 11, 2006


ACAP Financial, Inc., Donald Fisher - Consent Agreement

Tuesday, October 10, 2006

Categories: Enforcement Actions

Lincoln Financial Advisors Corp. - Consent Agreement

Monday, October 9, 2006

Categories: Enforcement Actions

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

Thursday, September 14, 2006

Categories: Enforcement Actions

Michael L. Puklich - Consent Order

Monday, September 11, 2006

Categories: Enforcement Actions

Capital Growth Financial, LLC, Ross O. Haugen -

Wednesday, September 6, 2006

Categories: Enforcement Actions

UNREGISTERED PROMISSORY NOTES HALTED

Wednesday, September 6, 2006


David A. Skjerven, Skjerven Financial Services - Cease and Desist Order

Thursday, August 31, 2006

Categories: Enforcement Actions

Piper Jaffray & Co., Brady Vollmers - Consent Order

Wednesday, June 28, 2006

Categories: Enforcement Actions

Anton Kunz, The ABC System - Cease and Desist Order

Wednesday, May 24, 2006

Categories: Enforcement Actions

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

Monday, May 1, 2006

Categories: Enforcement Actions

I2U, Inc., Harold Richard Mladek - Default Order

Thursday, April 13, 2006

Categories: Enforcement Actions

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

Tuesday, March 21, 2006

Categories: Enforcement Actions

Dakota Payphone, LLC - Order to Revoke the Securities Registrations

Thursday, February 2, 2006

Categories: Enforcement Actions

Dakota Payphone, LLC -

Friday, January 13, 2006

Categories: Enforcement Actions

Thomas Weisel Partners, LLC - Administrative Consent Order

Friday, January 13, 2006

Categories: Enforcement Actions

Kevin David Wells - Order to Revoke the Agent Registration

Friday, December 9, 2005

Categories: Enforcement Actions

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

Thursday, December 8, 2005

Categories: Enforcement Actions

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

Tuesday, November 22, 2005

Categories: Enforcement Actions

Kevin David Wells -

Monday, November 14, 2005

Categories: Enforcement Actions

Dale F. Roehrich - Consent Order

Wednesday, October 26, 2005

Categories: Enforcement Actions

TYLER TO CHAIR NASAA ANNUAL CONFERENCE

Thursday, September 8, 2005


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

Wednesday, September 7, 2005

Categories: Enforcement Actions

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

Monday, August 29, 2005

Categories: Enforcement Actions

Deutsche Bank Securities, Inc. - Administrative Consent Order

Friday, August 26, 2005

Categories: Enforcement Actions

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

Thursday, August 11, 2005

Categories: Enforcement Actions

Waddell & Reed, Inc. - Consent Order

Friday, July 29, 2005

Categories: Enforcement Actions

Pruco Securities, LLC - Consent Order

Friday, July 15, 2005

Categories: Enforcement Actions

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

Tuesday, July 5, 2005

Categories: Enforcement Actions

Dale F. Roehrich - Notice of Civil Penalty

Friday, June 3, 2005

Categories: Enforcement Actions

Schwartz Investment Management Company, James Schwartz - Consent Order

Friday, June 3, 2005

Categories: Enforcement Actions

Assemblies of God Loan Fund - Consent Agreement

Friday, May 20, 2005

Categories: Enforcement Actions

Piper Jaffray & Co., Terry Millner - Consent Order

Thursday, May 5, 2005

Categories: Enforcement Actions

OPPORTUNITY FOR NORTH DAKOTA TEACHERS

Thursday, April 7, 2005


Capital Growth Financial, LLC - Consent Order

Monday, April 4, 2005

Categories: Enforcement Actions

David A. Skjerven - Consent Order

Tuesday, February 15, 2005

Categories: Enforcement Actions

Capital Growth Financial, LLC - Notice of Civil Penalty

Thursday, February 10, 2005

Categories: Enforcement Actions

FARGO AGENT DENIED REGISTRATION

Wednesday, January 26, 2005


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

Wednesday, January 26, 2005

Categories: Enforcement Actions

Bruce A. Hager -

Wednesday, January 26, 2005

Categories: Enforcement Actions

Investment Advisory Services, Thomas H. Marsden - Consent Order

Thursday, January 20, 2005

Categories: Enforcement Actions

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

Thursday, December 16, 2004

Categories: Enforcement Actions

Huntleigh Securities Corporation - Consent Agreement

Wednesday, December 15, 2004

Categories: Enforcement Actions

Drew A. Likness - Consent Order

Wednesday, December 8, 2004

Categories: Enforcement Actions

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

Monday, November 22, 2004

Categories: Enforcement Actions

TYLER CHAIRS NASAA EDUCATION CONFERENCE

Tuesday, November 9, 2004


Piper Jaffray & Co., Jason Millner - Consent Order

Monday, October 25, 2004

Categories: Enforcement Actions

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

Friday, September 24, 2004

Categories: Enforcement Actions

Charles Archambault -

Thursday, September 16, 2004

Categories: Enforcement Actions

GRAND FORKS BROKER SUSPENDED

Thursday, September 2, 2004


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

Monday, August 30, 2004

Categories: Enforcement Actions

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

Friday, August 13, 2004

Categories: Enforcement Actions

InterSecurities, Inc., Richard Colling - Consent Order

Thursday, August 12, 2004

Categories: Enforcement Actions

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

Wednesday, July 28, 2004

Categories: Enforcement Actions

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

Wednesday, July 28, 2004

Categories: Enforcement Actions

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

Wednesday, June 30, 2004

Categories: Enforcement Actions

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

Tuesday, June 29, 2004

Categories: Enforcement Actions

PREFERRED TRUST VICTIMS REPAID

Tuesday, June 22, 2004


Jeffrey Toft - Undertaking and Agreement

Tuesday, June 1, 2004

Categories: Enforcement Actions

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

Tuesday, May 25, 2004

Categories: Enforcement Actions

Principal Life Insurance Company - Consent Agreement

Thursday, April 22, 2004

Categories: Enforcement Actions

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

Thursday, March 18, 2004

Categories: Enforcement Actions

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

Monday, March 15, 2004

Categories: Enforcement Actions

EuroBond Fidelity, Ltd. - Cease and Desist Order, Notice of Civil Penalty

Thursday, March 4, 2004

Categories: Enforcement Actions

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

Wednesday, March 3, 2004

Categories: Enforcement Actions

D & M Capital, LLC, Associated Financial Services, Inc. - Consent Agreement

Wednesday, March 3, 2004

Categories: Enforcement Actions

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

Tuesday, February 24, 2004

Categories: Enforcement Actions

T.L. Secrest - Consent Order

Tuesday, February 24, 2004

Categories: Enforcement Actions

Thomas V. Kozlowski - Consent Order

Friday, February 13, 2004

Categories: Enforcement Actions

ASKAR, Corp. - Consent Order

Monday, February 9, 2004

Categories: Enforcement Actions

Gregory A. Grossman - Consent Order

Monday, February 9, 2004

Categories: Enforcement Actions

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

Tuesday, January 27, 2004

Categories: Enforcement Actions

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

Wednesday, December 17, 2003

Categories: Enforcement Actions

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

Wednesday, December 17, 2003

Categories: Enforcement Actions

CGF Securities, LLC, Ross Owen Haugen - Consent Order

Tuesday, December 16, 2003

Categories: Enforcement Actions

William L. Toft - Consent Order

Monday, December 15, 2003

Categories: Enforcement Actions

Bear, Stearns & Co. Inc. - Consent Order

Tuesday, December 9, 2003

Categories: Enforcement Actions

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

Wednesday, December 3, 2003

Categories: Enforcement Actions

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

Wednesday, December 3, 2003

Categories: Enforcement Actions

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

Friday, November 21, 2003

Categories: Enforcement Actions

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

Thursday, November 20, 2003

Categories: Enforcement Actions

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

Thursday, November 20, 2003

Categories: Enforcement Actions

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

Wednesday, November 12, 2003

Categories: Enforcement Actions

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

Tuesday, October 21, 2003

Categories: Enforcement Actions

Morgan Stanley & Co. Incorporated - Administrative Consent Order

Tuesday, October 21, 2003

Categories: Enforcement Actions

Preferred Trust and Management, LTD, Kris & Tana Thorfinnson - Consent Order

Monday, October 20, 2003

Categories: Enforcement Actions

U.S. Bancorp Piper Jaffray Inc. - Administrative Consent Order

Monday, October 20, 2003

Categories: Enforcement Actions

UBS Warburg LLC, UBS PaineWebber Inc. - Administrative Consent Order

Friday, October 10, 2003

Categories: Enforcement Actions

Goldman, Sachs & Co. - Consent Order

Tuesday, October 7, 2003

Categories: Enforcement Actions

Debra Ann Lund - Consent Order

Monday, October 6, 2003

Categories: Enforcement Actions

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

Wednesday, October 1, 2003

Categories: Enforcement Actions

Lehman Brothers Inc. - Administrative Order

Monday, September 22, 2003

Categories: Enforcement Actions

Kent Johanneson - Consent Order

Thursday, September 18, 2003

Categories: Enforcement Actions

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

Thursday, September 11, 2003

Categories: Enforcement Actions

CGF Securities, LLC - Order to Vacate

Wednesday, September 10, 2003

Categories: Enforcement Actions

David C. Gess -

Monday, September 8, 2003

Categories: Enforcement Actions

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

Tuesday, September 2, 2003

Categories: Enforcement Actions

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

Wednesday, August 27, 2003

Categories: Enforcement Actions

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

Monday, July 28, 2003

Categories: Enforcement Actions

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

Monday, July 28, 2003

Categories: Enforcement Actions

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

Friday, July 18, 2003

Categories: Enforcement Actions

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

Tuesday, July 1, 2003

Categories: Enforcement Actions

Preferred Trust and Management, LTD, Jess Welstad -

Tuesday, July 1, 2003

Categories: Enforcement Actions

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

Thursday, June 19, 2003

Categories: Enforcement Actions

Preferred Trust and Management, LTD., Michael Hupka -

Wednesday, June 4, 2003

Categories: Enforcement Actions

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

Wednesday, June 4, 2003

Categories: Enforcement Actions

TYLER APPOINTED

Tuesday, June 3, 2003


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

Tuesday, June 3, 2003

Categories: Enforcement Actions

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

Sunday, June 1, 2003

Categories: Enforcement Actions

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

Wednesday, May 28, 2003

Categories: Enforcement Actions

Preferred Trust and Management, LTD., Keith Pierson -

Wednesday, May 28, 2003

Categories: Enforcement Actions

Robert Woodward - Consent Order

Monday, May 12, 2003

Categories: Enforcement Actions

Preferred Trust and Management, Ltd., Steve Tengesdal - Consent Order

Monday, May 12, 2003

Categories: Enforcement Actions

US Petroleum, LLC - Consent Agreement

Thursday, April 24, 2003

Categories: Enforcement Actions

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

Tuesday, April 15, 2003

Categories: Enforcement Actions

Golden Eagle Oil, James McDaniel - Cease and Desist Order

Wednesday, March 19, 2003

Categories: Enforcement Actions

Ross Owen Haugen - Consent Order

Wednesday, March 5, 2003

Categories: Enforcement Actions

MDVIP, Inc. - Settlement Agreement

Thursday, January 23, 2003

Categories: Enforcement Actions

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

Monday, January 20, 2003

Categories: Enforcement Actions

STOCK MARKET GAME WINNERS ANNOUNCED

Tuesday, January 14, 2003


American Capital Corporation - Consent Order

Friday, December 6, 2002

Categories: Enforcement Actions

TYLER APPOINTED BY NASAA

Thursday, November 21, 2002


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

Wednesday, November 20, 2002

Categories: Enforcement Actions

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

Tuesday, November 19, 2002

Categories: Enforcement Actions

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

Wednesday, October 30, 2002

Categories: Enforcement Actions

American Capital Corporation, Ross O. Haugen - Cease and Desist Order

Thursday, October 3, 2002

Categories: Enforcement Actions

MDVIP, Inc., Ross O. Haugen, CGF Securities, LLC - Cease and Desist Order

Thursday, October 3, 2002

Categories: Enforcement Actions

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

Tuesday, September 10, 2002

Categories: Enforcement Actions

TOP TEN INVESTMENT FRAUDS ANNOUNCED

Thursday, September 5, 2002


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

Wednesday, August 21, 2002

Categories: Enforcement Actions

Ross Owen Haugen - Registration Agreement

Wednesday, August 21, 2002

Categories: Enforcement Actions

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

Monday, August 19, 2002

Categories: Enforcement Actions

Michael J. Brooks -

Tuesday, August 13, 2002

Categories: Enforcement Actions

Carret Securities, LLC - Consent Order

Tuesday, July 30, 2002

Categories: Enforcement Actions

Carr Futures - Registration Agreement

Monday, July 22, 2002

Categories: Enforcement Actions

American Investment Services, Inc. -

Friday, June 14, 2002

Categories: Enforcement Actions

American Investment Services, Inc. - Proposed Order to Revoke Agent Registration

Friday, June 14, 2002

Categories: Enforcement Actions

American Investment Services, Inc. - Order to Amend Order for Rescission

Friday, June 7, 2002

Categories: Enforcement Actions

American Investment Services, Inc. - Order for Rescission

Thursday, May 30, 2002

Categories: Enforcement Actions

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

Monday, May 13, 2002

Categories: Enforcement Actions

Engine Electronics, Inc. - Consent Order

Tuesday, April 2, 2002

Categories: Enforcement Actions

First Montauk Securities Corp. - Consent Order

Thursday, March 21, 2002

Categories: Enforcement Actions

Shari Nelson -

Thursday, March 14, 2002

Categories: Enforcement Actions

United Methodist Development Fund - Consent Order

Tuesday, February 26, 2002

Categories: Enforcement Actions

Jeff Nelson - Consent Order

Friday, February 15, 2002

Categories: Enforcement Actions

Gurpal S. Shokar -

Tuesday, February 5, 2002

Categories: Enforcement Actions

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

Tuesday, February 5, 2002

Categories: Enforcement Actions

Jasmer Shokar a/k/a Jimmy Shokar -

Tuesday, February 5, 2002

Categories: Enforcement Actions

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

Tuesday, February 5, 2002

Categories: Enforcement Actions

GunnAllen Financial, Inc. - Consent Order

Thursday, January 3, 2002

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Kenneth Ryer - Order to Vacate Cease and Desist Order

Tuesday, November 27, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Kyle Wurgler - Order to Vacate Cease and Desist Order

Tuesday, November 27, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Soren Sorenson - Order to Vacate Cease and Desist Order

Tuesday, November 27, 2001

Categories: Enforcement Actions

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

Tuesday, November 27, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Eric Maaske - Order to Vacate Cease and Desist Order

Tuesday, November 27, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Brian Snowden - Order to Vacate Cease and Desist Order

Tuesday, November 27, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Ken Howe - Order to Vacate Cease and Desist Order

Tuesday, November 27, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Mark Couper - Order to Vacate Cease and Desist Order

Tuesday, November 27, 2001

Categories: Enforcement Actions

Learn2Distribution.com, Inc., Sean Correia - Cease and Desist Order

Monday, November 19, 2001

Categories: Enforcement Actions

Marion Bass Securities Corporation - Order to Revoke the Dealer Registration

Wednesday, November 14, 2001

Categories: Enforcement Actions

L. H. Ross & Co., Inc. - Proposed Order to Refuse Dealer Registration

Monday, November 12, 2001

Categories: Enforcement Actions

R. Lang Construction, Inc. - Consent Order

Friday, November 2, 2001

Categories: Enforcement Actions

BrokerageAmerica, Inc. - Consent Order

Wednesday, October 24, 2001

Categories: Enforcement Actions

K-Ram Industries, Robert Pagan - Order

Wednesday, October 17, 2001

Categories: Enforcement Actions

Effective Sport Nutrition Corporation - Consent Order

Wednesday, September 26, 2001

Categories: Enforcement Actions

Dakota Imaging, Inc. - Consent Order

Wednesday, September 26, 2001

Categories: Enforcement Actions

Viper Acquisition, LLC - Consent Order

Wednesday, September 26, 2001

Categories: Enforcement Actions

Dig-It Underground, Inc. - Consent Order

Wednesday, September 26, 2001

Categories: Enforcement Actions

Riverside RV Rentals, Inc. - Consent Order

Wednesday, September 26, 2001

Categories: Enforcement Actions

ADM Enterprises, Inc. - Consent Order

Wednesday, September 26, 2001

Categories: Enforcement Actions

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

Tuesday, August 28, 2001

Categories: Enforcement Actions

OptionsXpress - Consent Order

Wednesday, August 22, 2001

Categories: Enforcement Actions

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

Monday, August 6, 2001

Categories: Enforcement Actions

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

Monday, August 6, 2001

Categories: Enforcement Actions

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

Monday, August 6, 2001

Categories: Enforcement Actions

Marion Bass Securities Corporation - Suspension--Proposed Order to Revoke

Sunday, August 5, 2001

Categories: Enforcement Actions

Valley Honey Company, LLC, Rodney Kirschman, Rodney Anderson - Cease and Desist Order

Tuesday, July 31, 2001

Categories: Enforcement Actions

BrokerageAmerica, Inc. - Cease and Desist Order

Monday, July 23, 2001

Categories: Enforcement Actions

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

Monday, June 4, 2001

Categories: Enforcement Actions

Sparkman, Ronald - Consent Order

Friday, May 25, 2001

Categories: Enforcement Actions

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

Thursday, May 17, 2001

Categories: Enforcement Actions

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

Tuesday, May 15, 2001

Categories: Enforcement Actions

Tri-West Investment Club, Wesley Leroy Hiller - Cease and Desist Order

Monday, May 14, 2001

Categories: Enforcement Actions

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

Tuesday, May 8, 2001

Categories: Enforcement Actions

Trinity Financial Group, LLC - Cease and Desist Order

Tuesday, May 8, 2001

Categories: Enforcement Actions

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

Tuesday, May 8, 2001

Categories: Enforcement Actions

US Bancorp Piper Jaffray, Inc., Birmingham, Christopher - Consent Order

Tuesday, May 8, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., David Martin, Kay Martin - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Galen Marsh - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Gerald Haskins - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Janene Haugen - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Ken Howe - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Kevin Martin - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Larry Borud - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Mark Couper - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Randy Bryans - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Richard L. Solberg - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Brian Henry - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Steve Tengesdal - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Tracy Velazques - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Donald Marsh - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Eugene Zaderaka - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., James I. Miller Jr. - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Keith Pierson - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Leon Borud - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Mark Peterson - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Bev Elberg - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Tony Kaut - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Dennis Skarphol - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Jackie Schatz - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Jess Welstad - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Kenneth Ryer - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Kyle Wurgler - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Larry Skiftun - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Mark Dostert - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Mitchell Keiser - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Ron Stafford - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Soren Sorensen - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Troy Borud - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Eric Maaske - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Gary Bryans - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Gerald Henry - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Mike Morey - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Raymond Van Bockel - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Rodney J. Duncklee - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Scott Renfandt - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Brian Snowden - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Todd Haskins - Cease and Desist Order

Tuesday, April 10, 2001

Categories: Enforcement Actions

Osland, Michael J. - Consent Order

Monday, March 12, 2001

Categories: Enforcement Actions

Archambault, Charles - Consent Order

Monday, March 5, 2001

Categories: Enforcement Actions

Hausauer, Dirk P. - Consent Order

Wednesday, February 21, 2001

Categories: Enforcement Actions

Jorve, Wayne - Consent Order

Monday, February 12, 2001

Categories: Enforcement Actions

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

Tuesday, January 30, 2001

Categories: Enforcement Actions

Schulz, Todd James - Agent Suspension - Proposed Revocation

Tuesday, January 30, 2001

Categories: Enforcement Actions

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

Thursday, January 25, 2001

Categories: Enforcement Actions

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

Thursday, January 4, 2001

Categories: Enforcement Actions

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

Wednesday, December 6, 2000

Categories: Enforcement Actions

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

Tuesday, November 21, 2000

Categories: Enforcement Actions

New Life Technologies, Inc. - Civil Penalty

Tuesday, November 21, 2000

Categories: Enforcement Actions

Todd Rooker - Civil Penalty

Tuesday, November 21, 2000

Categories: Enforcement Actions

Mike Bierman - Civil Penalty

Tuesday, November 21, 2000

Categories: Enforcement Actions

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

Thursday, November 9, 2000

Categories: Enforcement Actions

New England International Surety - Civil Penalty

Monday, November 6, 2000

Categories: Enforcement Actions

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

Thursday, October 19, 2000

Categories: Enforcement Actions

Dirk P. Hausauer - Civil Penalty

Thursday, August 24, 2000

Categories: Enforcement Actions

Craig Brown - Consent Order

Monday, July 31, 2000

Categories: Enforcement Actions

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

Monday, July 31, 2000

Categories: Enforcement Actions

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

Tuesday, July 11, 2000

Categories: Enforcement Actions

Gerard Cerullo - Consent Order

Monday, July 10, 2000

Categories: Enforcement Actions

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

Friday, June 16, 2000

Categories: Enforcement Actions

The Bobwhite Company, Bob White - Cease and Desist Order

Thursday, May 25, 2000

Categories: Enforcement Actions

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

Wednesday, May 24, 2000

Categories: Enforcement Actions

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

Wednesday, April 26, 2000

Categories: Enforcement Actions

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

Wednesday, April 26, 2000

Categories: Enforcement Actions

Craig Brown - Civil Penalty

Wednesday, April 26, 2000

Categories: Enforcement Actions

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

Tuesday, April 25, 2000

Categories: Enforcement Actions

Phoenix Telecom, LLC, Trinity Financial Group - Cease and Desist Order

Friday, March 31, 2000

Categories: Enforcement Actions

Linsco Private Ledger Corp. - Consent Agreement

Friday, March 31, 2000

Categories: Enforcement Actions

Wayne Jorve - Cease and Desist Order

Friday, March 3, 2000

Categories: Enforcement Actions

Peregrine Financials & Securities, Inc., Patrick Steven Jage - Consent Order

Friday, March 3, 2000

Categories: Enforcement Actions

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

Friday, March 3, 2000

Categories: Enforcement Actions

William Ebele - Civil Penalty

Wednesday, March 1, 2000

Categories: Enforcement Actions

Charles Schwab & Co., Inc. - Consent Agreement

Monday, February 28, 2000

Categories: Enforcement Actions

Copeland Equities, Inc. - Consent Agreement

Monday, February 28, 2000

Categories: Enforcement Actions

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

Monday, February 28, 2000

Categories: Enforcement Actions

Kenneth Lynn Copen - Consent Order

Thursday, January 20, 2000

Categories: Enforcement Actions

Sunpoint Securities, Inc. -

Thursday, January 20, 2000

Categories: Enforcement Actions

Debt Management Club - Consent Order

Tuesday, December 21, 1999

Categories: Enforcement Actions

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

Friday, December 10, 1999

Categories: Enforcement Actions

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

Monday, November 29, 1999

Categories: Enforcement Actions

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

Monday, November 29, 1999

Categories: Enforcement Actions

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

Monday, November 29, 1999

Categories: Enforcement Actions

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

Monday, November 29, 1999

Categories: Enforcement Actions

Friends N Freedom, Hansen, Vernon, Hansen, Darlene - Cease and Desist Order

Monday, November 29, 1999

Categories: Enforcement Actions

Friends N Freedom, Hansen, Scott, Hansen, Becky - Cease and Desist Order

Monday, November 29, 1999

Categories: Enforcement Actions

Fordham Financial Management, Inc. - Denial of Application

Tuesday, October 19, 1999

Categories: Enforcement Actions

Edward Oliver Samuelson -

Tuesday, October 19, 1999

Categories: Enforcement Actions

Leuthold Funds, Inc. - Consent Order

Thursday, September 16, 1999

Categories: Enforcement Actions

Friends N Freedom, Zenker, LaVerne, Zenker, Kay - Cease and Desist Order

Friday, September 3, 1999

Categories: Enforcement Actions

Friends N Freedom, LaVerne Zenker, Kay Zenker - Subpoena Duces Tecum

Friday, September 3, 1999

Categories: Enforcement Actions

Bisys Brokerage Services, Inc. - Consent Order

Tuesday, August 24, 1999

Categories: Enforcement Actions

Steve Hiltbrand - Civil Penalty

Tuesday, August 24, 1999

Categories: Enforcement Actions

Alliance Trust, Clifton Wilkinson - Civil Penalty

Tuesday, August 24, 1999

Categories: Enforcement Actions

Integrowth Financial Group - Civil Penalty

Tuesday, August 24, 1999

Categories: Enforcement Actions

Kenneth Lynn Copen - Civil Penalty

Friday, August 20, 1999

Categories: Enforcement Actions

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

Monday, August 16, 1999

Categories: Enforcement Actions

Edward Weeks - Registration Agreement

Thursday, July 29, 1999

Categories: Enforcement Actions

Popular Link, Jeff Cheng - Cease and Desist Order

Thursday, July 22, 1999

Categories: Enforcement Actions

James Newton Darwin, II - Consent Order

Monday, July 19, 1999

Categories: Enforcement Actions

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

Wednesday, July 7, 1999

Categories: Enforcement Actions

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

Wednesday, July 7, 1999

Categories: Enforcement Actions

William Santoro - Civil Penalty

Wednesday, July 7, 1999

Categories: Enforcement Actions

Santoro's Gourmet Foods, Inc. - Civil Penalty

Wednesday, July 7, 1999

Categories: Enforcement Actions

Verlin Swartzendurber - Notice of Default, Default Order

Monday, June 28, 1999

Categories: Enforcement Actions

Alliance Trust, Clifton Wilkinson - Cease and Desist Order

Monday, June 28, 1999

Categories: Enforcement Actions

Ramon C. Papa, III - Civil Penalty

Friday, June 25, 1999

Categories: Enforcement Actions

Jonathan C. Papa - Civil Penalty

Friday, June 25, 1999

Categories: Enforcement Actions

AMS Financial Corporation - Civil Penalty

Friday, June 25, 1999

Categories: Enforcement Actions

The Ponzu Companies, Inc. - Civil Penalty

Friday, June 25, 1999

Categories: Enforcement Actions

Papa Holdings, Inc. - Civil Penalty

Friday, June 25, 1999

Categories: Enforcement Actions

David J. Naughton - Civil Penalty

Friday, June 25, 1999

Categories: Enforcement Actions

Allen Halstead - Civil Penalty

Friday, June 25, 1999

Categories: Enforcement Actions

Thomas L. Anderson - Civil Penalty

Friday, June 25, 1999

Categories: Enforcement Actions

David M. Beneake - Civil Penalty

Friday, June 25, 1999

Categories: Enforcement Actions

Kourosh Saroole - Civil Penalty

Friday, June 25, 1999

Categories: Enforcement Actions

Kerlin Securities, Inc. - Consent Agreement

Tuesday, June 8, 1999

Categories: Enforcement Actions

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

Friday, May 28, 1999

Categories: Enforcement Actions

Amerivet Securities, Inc. - Consent Agreement

Monday, May 24, 1999

Categories: Enforcement Actions

AMS Financial Corp., Allen Halstead - Subpoena Duces Tecum

Monday, May 10, 1999

Categories: Enforcement Actions

AMS Financial Corporation, Allen Halstead - Cease and Desist Order

Monday, May 10, 1999

Categories: Enforcement Actions

Equity Securities Investments, Inc. - Consent Order

Thursday, April 29, 1999

Categories: Enforcement Actions

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

Monday, April 26, 1999

Categories: Enforcement Actions

Denis M. Benson - Civil Penalty

Monday, April 26, 1999

Categories: Enforcement Actions

Internet Casino Sports Gaming - Civil Penalty

Monday, April 26, 1999

Categories: Enforcement Actions

First Fidelity Financial Corporation - Civil Penalty

Friday, April 16, 1999

Categories: Enforcement Actions

Bruce M. Follick - Civil Penalty

Friday, April 16, 1999

Categories: Enforcement Actions

California Laser Company - Cease and Desist Order

Wednesday, March 31, 1999

Categories: Enforcement Actions

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

Monday, March 29, 1999

Categories: Enforcement Actions

First Financial Equity Corporation - Registration Agreement

Thursday, March 18, 1999

Categories: Enforcement Actions

David Johnson - Notice of Civil Penalty

Monday, March 8, 1999

Categories: Enforcement Actions

Low Priced Stock Wealth - Civil Penalty

Monday, March 8, 1999

Categories: Enforcement Actions

David Johnson - Civil Penalty

Monday, March 8, 1999

Categories: Enforcement Actions

Low Priced Stock Wealth - Notice of Civil Penalty

Monday, March 8, 1999

Categories: Enforcement Actions

Mike T. McEnroe - Civil Penalty

Thursday, March 4, 1999

Categories: Enforcement Actions

Kaizen International Consulting Corporation - Civil Penalty

Thursday, March 4, 1999

Categories: Enforcement Actions

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

Monday, March 1, 1999

Categories: Enforcement Actions

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

Friday, February 26, 1999

Categories: Enforcement Actions

Amerivet Securities, Inc. - Civil Penalty

Tuesday, February 9, 1999

Categories: Enforcement Actions

Magnum Petroleum, Inc. - Notice of Civil Penalty

Wednesday, January 20, 1999

Categories: Enforcement Actions

Jerry Nichter - Civil Penalty

Wednesday, January 20, 1999

Categories: Enforcement Actions

Bert Bjur - Cease and Desist Order

Wednesday, January 20, 1999

Categories: Enforcement Actions

Sharon Malkin - Notice of Civil Penalty

Wednesday, January 20, 1999

Categories: Enforcement Actions

Lon Finkelstein - Civil Penalty

Wednesday, January 20, 1999

Categories: Enforcement Actions

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

Wednesday, January 20, 1999

Categories: Enforcement Actions

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

Wednesday, January 20, 1999

Categories: Enforcement Actions

Public Communication Services, Inc. - Civil Penalty

Wednesday, January 20, 1999

Categories: Enforcement Actions

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

Monday, January 4, 1999

Categories: Enforcement Actions

Steven L. Shook - Civil Penalty

Wednesday, December 30, 1998

Categories: Enforcement Actions

Buckhorn Financial Services, Inc - Notice of Civil Penalty

Wednesday, December 30, 1998

Categories: Enforcement Actions

Michael Lee Mathis - Notice of Civil Penalty

Wednesday, December 30, 1998

Categories: Enforcement Actions

Joseph K. Hilyard - Notice of Civil Penalty

Wednesday, December 30, 1998

Categories: Enforcement Actions

Safe Keeping, Inc. - Notice of Civil Penalty

Wednesday, December 30, 1998

Categories: Enforcement Actions

Creative Capital Management Corporation - Consent Order

Monday, December 28, 1998

Categories: Enforcement Actions

State Farm VP Management Corp. - Consent Order

Tuesday, December 8, 1998

Categories: Enforcement Actions

William R. Richard - Consent Order

Monday, November 16, 1998

Categories: Enforcement Actions

Synovus Securities, Inc. - Consent Order

Thursday, November 5, 1998

Categories: Enforcement Actions

Argent Securities, Inc. - Proposed Order to Refuse Dealer Registration

Monday, November 2, 1998

Categories: Enforcement Actions

Lenny Bierstein - Notice of Civil Penalty

Monday, November 2, 1998

Categories: Enforcement Actions

Public Communications Services, Inc., Lon Finkelstein, Sharon Malkin - Cease and Desist Order

Wednesday, September 23, 1998

Categories: Enforcement Actions

Venture Funding Group, Inc., Thomas R. Meinders - Cease and Desist Order

Monday, August 24, 1998

Categories: Enforcement Actions

Capital Management International, Ltd., Ronald Ratoff - Cease and Desist Order

Friday, July 24, 1998

Categories: Enforcement Actions

American Investment Services, Inc., David R. Bjork - Notice of Civil Penalty

Thursday, July 23, 1998

Categories: Enforcement Actions

Buckhorn Financial Services, Inc., SafeKeeping, Inc. - Cease and Desist Order

Wednesday, July 1, 1998

Categories: Enforcement Actions

Foreign Currency International - Cease and Desist Order

Friday, June 26, 1998

Categories: Enforcement Actions

Dirk P. Hausauer -

Tuesday, June 9, 1998

Categories: Enforcement Actions

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

Monday, June 8, 1998

Categories: Enforcement Actions

Tradestar Investments, Inc. - Consent Order

Monday, May 18, 1998

Categories: Enforcement Actions

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

Tuesday, March 24, 1998

Categories: Enforcement Actions

Magnum Petroleum, Jerry Nichter - Cease and Desist Order

Tuesday, February 3, 1998

Categories: Enforcement Actions

Tradeway Securities Group, Inc. - Consent Order

Wednesday, January 28, 1998

Categories: Enforcement Actions

Temper of the Times Communications, Inc. - Consent Order

Tuesday, December 9, 1997

Categories: Enforcement Actions

Harvey Senn, Lutheran Brotherhood Securities Corporation -

Friday, November 7, 1997

Categories: Enforcement Actions

International Benevolence Fund Trust, Frank R. Johnson - Cease and Desist Order

Wednesday, October 15, 1997

Categories: Enforcement Actions

Arrow Environmental Remediation Operations, Hank M. Kendrick - Cease and Desist Order

Monday, September 22, 1997

Categories: Enforcement Actions

The Infinity Group Company, Geoff Benson - Cease and Desist Order

Friday, August 15, 1997

Categories: Enforcement Actions

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

Monday, July 21, 1997

Categories: Enforcement Actions

Richard Tomitz - Consent Order

Monday, July 21, 1997

Categories: Enforcement Actions

Daniel Wood -

Monday, May 12, 1997

Categories: Enforcement Actions

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

Thursday, April 17, 1997

Categories: Enforcement Actions

Prosperity Unlimited Trust, Annette Cain - Cease and Desist Order

Monday, March 31, 1997

Categories: Enforcement Actions

Raoul Brandt - Consent Order

Monday, March 31, 1997

Categories: Enforcement Actions

La Jolla Securities Corporation, Daniel Wood - Consent Order

Tuesday, March 18, 1997

Categories: Enforcement Actions

USA Financial News, James Bartel - Consent Order

Monday, February 24, 1997

Categories: Enforcement Actions

David Stavig -

Wednesday, February 19, 1997

Categories: Enforcement Actions

Furniture Medic Limited Partnership, Kevin Schmitcke -

Tuesday, January 14, 1997

Categories: Enforcement Actions

Prince Dr. Augustine Ayuba - Cease and Desist Order

Thursday, January 9, 1997

Categories: Enforcement Actions

Information Processing Office - Order to Amend Cease and Desist

Tuesday, December 31, 1996

Categories: Enforcement Actions

Bob Ivensen, Sunward Club - Cease and Desist Order

Monday, December 9, 1996

Categories: Enforcement Actions

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

Friday, November 29, 1996

Categories: Enforcement Actions

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

Monday, October 21, 1996

Categories: Enforcement Actions

Vern Van Ornum - Cease and Desist Order

Tuesday, October 1, 1996

Categories: Enforcement Actions

Information Processing Office - Cease and Desist Order

Wednesday, September 4, 1996

Categories: Enforcement Actions

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

Sunday, June 9, 1996

Categories: Enforcement Actions

Gruntal & Co., Inc. - Consent Order

Thursday, May 23, 1996

Categories: Enforcement Actions

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

Monday, May 13, 1996

Categories: Enforcement Actions

The Ellis Group, Frank Ellis, CEO - Cease and Desist Order

Monday, May 13, 1996

Categories: Enforcement Actions

U. S. Wireless, Mark Silberman, Harry Kaiser, Sheldon Ziskind - Consent Order

Thursday, May 9, 1996

Categories: Enforcement Actions

Merrill Lynch, John D. McCroskey - Order for Hearing

Monday, May 6, 1996

Categories: Enforcement Actions

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

Monday, May 6, 1996

Categories: Enforcement Actions

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

Tuesday, April 30, 1996

Categories: Enforcement Actions

Engineer Sunday Bari Saro Wiwa - Cease and Desist Order

Thursday, April 18, 1996

Categories: Enforcement Actions

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

Monday, April 15, 1996

Categories: Enforcement Actions

Norfolk Securities Corp. - Proposed Order to Refuse Agent Registration

Friday, April 12, 1996

Categories: Enforcement Actions

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

Friday, April 12, 1996

Categories: Enforcement Actions

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

Thursday, March 21, 1996

Categories: Enforcement Actions

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

Monday, March 18, 1996

Categories: Enforcement Actions

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

Tuesday, June 6, 1995

Categories: Enforcement Actions

The Principality of Hutt River Province - Cease and Desist Order

Monday, May 8, 1995

Categories: Enforcement Actions

M.D. Rothchilds - Cease and Desist Order

Thursday, March 16, 1995

Categories: Enforcement Actions

Group Dynamics Downline - Cease and Desist Order

Wednesday, March 15, 1995

Categories: Enforcement Actions

Alhaji Jubril Umar - Cease and Desist Order

Tuesday, January 3, 1995

Categories: Enforcement Actions

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

Monday, March 28, 1994

Categories: Enforcement Actions

Dayle Maloney - Order for Hearing

Tuesday, February 22, 1994

Categories: Enforcement Actions

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

Tuesday, February 22, 1994

Categories: Enforcement Actions

Toluca Pacific Securities Corp. - Order for Hearing

Wednesday, February 16, 1994

Categories: Enforcement Actions

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

Monday, February 14, 1994

Categories: Enforcement Actions

Mid Valley Broadcasting, Inc., Charles Skip Rutledge, Jack Brush - Pre-Hearing Order

Monday, February 14, 1994

Categories: Enforcement Actions

Offerman & Company, Inc., The Offerman Group, Inc. - Notice of Right to Request Hearing

Thursday, February 10, 1994

Categories: Enforcement Actions

First National Services - Cease and Desist Order

Wednesday, February 2, 1994

Categories: Enforcement Actions

Becki Anderson Warren, James W. Warren, Lawrence W. Warren - Order for Hearing

Tuesday, February 1, 1994

Categories: Enforcement Actions

Image Financial Network, Ltd., Joel Freezon - Cease and Desist Order

Tuesday, January 25, 1994

Categories: Enforcement Actions

Sanford D. Greenberg -

Wednesday, January 19, 1994

Categories: Enforcement Actions

Reading Wireless Cable - Cease and Desist Order

Monday, December 27, 1993

Categories: Enforcement Actions

Telecom/Mobile Wireless Cable - Cease and Desist Order

Monday, December 27, 1993

Categories: Enforcement Actions

Northeast Telecom, Inc., 3rd Mobile of Central New York - Cease and Desist Order

Friday, December 10, 1993

Categories: Enforcement Actions

Continental Wireless Cable Television Inc. - Cease and Desist Order

Friday, October 22, 1993

Categories: Enforcement Actions

John Sebastian Ragazzo, Geneva Companies - Cease and Desist Order

Wednesday, October 20, 1993

Categories: Enforcement Actions

Richard F. Pinnow, Liberty International Networking Company - Cease and Desist Order

Monday, October 4, 1993

Categories: Enforcement Actions

Kenneth Finochiaro d/b/a Pre-cooked Pasta Company - Cease and Desist Order

Thursday, September 23, 1993

Categories: Enforcement Actions

Betty Aleshire, Great Western Communications, Int'l - Cease and Desist Order

Thursday, September 9, 1993

Categories: Enforcement Actions

Smart Industries, Inc., Life Crystals, Inc., Elliot Pierce - Cease and Desist Order

Tuesday, July 6, 1993

Categories: Enforcement Actions

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

Wednesday, May 19, 1993

Categories: Enforcement Actions

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

Monday, March 15, 1993

Categories: Enforcement Actions

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

Thursday, March 4, 1993

Categories: Enforcement Actions

Doug Nassif -

Monday, June 1, 1992

Categories: Enforcement Actions

Doug Nassif - Cease and Desist Order

Monday, June 1, 1992

Categories: Enforcement Actions

Leo Elroy Sjolseth - Cease and Desist Order

Wednesday, May 27, 1992

Categories: Enforcement Actions

Leo Elroy Sjolseth -

Wednesday, May 27, 1992

Categories: Enforcement Actions

Charles Edward Marean, Junior - Cease and Desist Order

Tuesday, May 19, 1992

Categories: Enforcement Actions

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

Tuesday, April 14, 1992

Categories: Enforcement Actions

Worldwide Treasure Bureau, Samuel E. Cox - Cease and Desist Order

Tuesday, April 14, 1992

Categories: Enforcement Actions

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

Tuesday, April 14, 1992

Categories: Enforcement Actions

Trans-Global Trading Incorporated, Robert Bowin, Peter Greenwood - Cease and Desist Order

Wednesday, December 4, 1991

Categories: Enforcement Actions

Equity Estates Galleries, Inc., Alex Pierce - Cease and Desist Order

Wednesday, November 20, 1991

Categories: Enforcement Actions

Reach Exploration, Inc., Warren Wellborn, Paul Webb, David Dolph - Cease and Desist Order

Wednesday, November 20, 1991

Categories: Enforcement Actions

Montague-Weston Associates Limited, Wayne Ford, J. Petersen - Cease and Desist Order

Friday, November 15, 1991

Categories: Enforcement Actions

Productions Plus, Priscilla J. Deters, Charles Chuck Crosby - Cease and Desist Order

Friday, November 1, 1991

Categories: Enforcement Actions

CanOdi International, Inc., Donald S. Dalman - Cease and Desist Order

Monday, September 23, 1991

Categories: Enforcement Actions

Financial Services Network, Paul Navestad - Cease and Desist Order

Friday, September 13, 1991

Categories: Enforcement Actions

International Exchange Board, Gene Young, Michael Simon - Cease and Desist Order

Friday, August 30, 1991

Categories: Enforcement Actions

Regency Collectibles, Inc., Bob Johnson, Jack Tischer - Cease and Desist Order

Friday, August 30, 1991

Categories: Enforcement Actions

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

Friday, August 30, 1991

Categories: Enforcement Actions

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

Wednesday, June 19, 1991

Categories: Enforcement Actions

Ratheal Companies, Rodney Ratheal, Stephen Mitchell -

Friday, June 14, 1991

Categories: Enforcement Actions

Mortgage Service Associates - Cease and Desist Order

Thursday, June 6, 1991

Categories: Enforcement Actions

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

Thursday, May 16, 1991

Categories: Enforcement Actions

The National CLub - Cease and Desist Order

Monday, April 15, 1991

Categories: Enforcement Actions

The Connoisseur of California - Cease and Desist Order

Thursday, January 10, 1991

Categories: Enforcement Actions

OPC and Associates - Cease and Desist Order

Wednesday, January 9, 1991

Categories: Enforcement Actions

FAX-9, Rene Boutin - Cease and Desist Order

Monday, November 26, 1990

Categories: Enforcement Actions

Mark Steven Eiken -

Tuesday, November 13, 1990

Categories: Enforcement Actions

Donex Resources, Inc., Jerry Woods, Ken Poindexter, Douglas Brown - Cease and Desist Order

Thursday, October 18, 1990

Categories: Enforcement Actions

R. B. Marich & Co. Inc., Rudy Marich, Betty Jane Marich, Irving Hale, Robert L. Long -

Thursday, September 20, 1990

Categories: Enforcement Actions

Edward Robert McGlynn -

Thursday, May 10, 1990

Categories: Enforcement Actions

EFJ Funds, Emanuel Fettig - Cease and Desist Order

Friday, April 20, 1990

Categories: Enforcement Actions

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

Wednesday, March 28, 1990

Categories: Enforcement Actions

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

Friday, March 23, 1990

Categories: Enforcement Actions

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

Monday, March 19, 1990

Categories: Enforcement Actions

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

Monday, March 19, 1990

Categories: Enforcement Actions

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

Monday, March 19, 1990

Categories: Enforcement Actions

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

Thursday, March 1, 1990

Categories: Enforcement Actions

Natonal Communications Network, Pepper Isenhart - Cease and Desist Order

Friday, February 16, 1990

Categories: Enforcement Actions

National Communications Network, Pepper Isenhart - Cease and Desist Order

Wednesday, February 7, 1990

Categories: Enforcement Actions

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

Thursday, February 1, 1990

Categories: Enforcement Actions

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

Tuesday, January 16, 1990

Categories: Enforcement Actions

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