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: Pig Butchering Scams
Wednesday, September 11, 2024
Categories: Investor Alerts and AdvisoriesPig Butchering is a term and metaphor used to describe a scam perpetrated over a long period of time to steal a victim’s money repeatedly via online apps. This advisory outlines how these scams work and how to identify red flags.
Investor Advisory: Precious Metals and Coin Investments
Wednesday, July 31, 2024
Categories: Investor Alerts and AdvisoriesAn investor needs to know their investment objectives and understand the risks that come with a precious metals investment. Precious metals are commodities, and like other commodities, their price can fluctuate dramatically. While there may be room in a diversified portfolio for precious metals, investors should consider several factors to determine if precious metals fit their investment objectives.
Investor Advisory: Mobile App Scams
Tuesday, June 25, 2024
Categories: Investor Alerts and AdvisoriesWith the proliferation of mobile device use and access to apps, more investors have become vulnerable to scammers who have infiltrated the mobile app marketplace.
North Dakota Securities Department Recognizes June 15 as World Elder Abuse Awareness Day
Friday, June 14, 2024
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, including potential exploitation and scams.
Investor Advisory: Seniors' Guide to Staying Safe Online
Wednesday, June 12, 2024
Categories: Investor Alerts and AdvisoriesThe stress of financial fraud can be life altering, especially for those in their retirement years. Losing money in an online investment fraud or financial scheme can severely affect your physical, mental, and social health. To avoid online scams, it is important to keep track of the internet services, subscriptions, and passwords you are using. This investor advisory explains how you can take a proactive role in staying more secure online.
Investor Bulletin: Exchange-Traded Funds (ETFs)
Thursday, April 25, 2024
Categories: Investor Alerts and AdvisoriesAn ETF is a type of exchange-traded investment product available for retail investors. In some ways ETFs are similar to mutual funds. For example, both are registered investment companies that can provide similar benefits such as professional management, investment diversification, and a low minimum required investment. But ETFs are structured differently than mutual funds, which creates different benefits and risks.
Investor Advisory: Trusted Contact
Wednesday, April 17, 2024
Categories: Investor Alerts and AdvisoriesYour 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 AdvisoriesScammers 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.
North Dakota Securities Department Highlights Proactive Investor Protection Tips for Financial Capability Month
Thursday, April 4, 2024
Governor, agency leaders announce North Dakota effort to become the most financially literate state
Tuesday, April 2, 2024
Investor Alert: Self-Directed IRAs and the Risk of Fraud
Thursday, March 21, 2024
Categories: Investor Alerts and AdvisoriesSelf-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 ActionsAdministrative Consent Order
Investor Advisory: Romance Scams
Friday, February 9, 2024
Categories: Investor Alerts and AdvisoriesDating 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 AdvisoriesThe 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 ActionsAdministrative Consent Order
Cease and Desist Order: Taylor Orris Bang
Friday, December 15, 2023
Categories: Enforcement ActionsCease and Desist Order, Order for Civil Penalty, and Notice of Right to Request a Hearing
Securities Commissioner orders Taylor Orris Bang to cease and desist from acting as an unregistered securities agent and selling unregistered securities in alleged $190 million Ponzi scheme
Friday, December 15, 2023
Categories: Enforcement ActionsConsent Order: ICON Investment Group, LLC, Leftfield Development, LLC, National Sports Opportunity Partners LLC, and Michael R. Kuntz
Tuesday, December 5, 2023
Categories: Enforcement ActionsNotice to North Dakota Funeral Establishments and Cemetery Associations
Friday, December 1, 2023
Investor Advisory: Affinity Fraud
Wednesday, November 29, 2023
Categories: Investor Alerts and AdvisoriesLearn 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 AdvisoriesRaymond James & Associates Inc., and Raymond James Financial Services Inc. - Consent Order
Friday, October 20, 2023
Categories: Enforcement ActionsNorth Dakota Securities Commissioner Issues Order Implementing Investment Adviser Representative Continuing Education
Tuesday, October 10, 2023
Investor Advisory: Celebrity Endorsements
Tuesday, August 15, 2023
Categories: Investor Alerts and AdvisoriesInfluencers 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 ActionsCease and Desist Order, Notice of and Order for Civil Penalties, Order for Rescission, and Notice of Right to Request a Hearing
Securities Commissioner orders Ireland & Sando and Michael J. Rydell to cease and desist from the sale of unregistered securities and acting as an unregistered securities agent and investment adviser representative
Thursday, July 27, 2023
Categories: Enforcement ActionsSecurities Commissioner orders Bradley J. Stroup and AMS Holdings to cease and desist from the sale of unregistered securities
Wednesday, July 19, 2023
Categories: Enforcement ActionsAMS Holdings LLC, and Bradley J. Stroup
Wednesday, July 19, 2023
Categories: Enforcement ActionsCease 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 ActionsAdministrative Consent Order
North Dakota Securities Department Joins Multiple States in $10 Million Settlement with Robinhood for Failing Investors
Wednesday, July 12, 2023
Categories: Enforcement ActionsNorth Dakota Securities Department Recognizes June 15 as World Elder Abuse Awareness Day
Wednesday, June 14, 2023
Categories: Investor Alerts and AdvisoriesAgridime LLC, a Texas limited liability company, and Joshua Link
Thursday, May 25, 2023
Categories: Enforcement ActionsCease 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 ActionsEleventh Grader Dominic Meier Places First in North Dakota in the SIFMA Foundation’s Fall 2022 National InvestWrite® Competition
Tuesday, May 23, 2023
Informed Investor Advisory: Account Takeover Fraud
Thursday, April 27, 2023
Categories: Investor Alerts and AdvisoriesAccount 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.
Securities Commissioner orders Michael Kuntz, National Sports Opportunity Partners, Jeremy L. Carlson, and Jamieson Capital Financial to cease and desist from sale of over $25 million in unregistered securities and misappropriation of investor funds
Monday, April 24, 2023
Categories: Enforcement Actions
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 ActionsFindings of Fact, Conclusions of Law, Cease and Desist Order, Notice of and Order for Rescission, Notice of and Order for Civil Penalties, Notice of Reservation of Commissioner's Authority to Amend Order, and Notice of Right to Request a Hearing
Securities Commissioner Issues Final Order in Fee-For-Funding Fraud
Friday, February 10, 2023
Final Order: Bio-Sunn Technologies, Inc., Lewis Bauer, Equity Fund International (EFI), Inc., and Christopher Williams
Thursday, February 9, 2023
Categories: Enforcement ActionsFindings of Fact, Conclusions of Law, and Final Order
North Dakota Joins $22.5 Million Multistate Securities Settlement Against Crypto Platform Nexo Capital
Monday, February 6, 2023
Securities Commissioner Orders Jeremy L. Carlson and Jamieson Capital Financial to Cease and Desist from Violating Previous Orders, Assesses Civil Penalties, Orders Rescission of Private Fund Investments
Thursday, December 22, 2022 at 11:00 pm
Enforcement Order: Jamieson Capital Financial LLC, a North Dakota Limited Liability Company, and Jeremy L. Carlson
Thursday, December 22, 2022
Categories: Enforcement ActionsFindings 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 AdvisoriesOne 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 AdvisoriesWith 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 AdvisoriesWith 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 AdvisoriesPromissory 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 ActionsCease 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 AdvisoriesA 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 ActionsStop 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
Securities Commissioner Suspends Registration of Fargo Investment Adviser Jamieson Capital Financial, Orders Firm and Jeremy L. Carlson to Cease and Desist from Violations of Securities Laws
Monday, July 18, 2022
Jamieson Capital Financial, LLC, a North Dakota limited liability company, and Jeremy L. Carlson
Monday, July 18, 2022
Categories: Enforcement ActionsFindings 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
Bankers Life and Casualty Company and BLC Financial Services, Inc. - Amendment to Consent Order
Thursday, July 14, 2022
Categories: Enforcement ActionsInvestor Advisory: Credit Ratings
Wednesday, July 13, 2022
Categories: Investor Alerts and AdvisoriesWith 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 AdvisoriesIn 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 AdvisoriesGovernor Burgum Issues Proclamation Recognizing World Elder Abuse Awareness Day on June 15.
Investor Advisory: ESG Investing
Friday, June 3, 2022
Categories: Investor Alerts and AdvisoriesMany 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 AdvisoriesDon'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 ActionsInvestor Advisory: Social Media, Online Trading and Investing
Monday, April 18, 2022
Categories: Investor Alerts and AdvisoriesIn 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: Crypto Asset Interest-Bearing Accounts
Tuesday, April 5, 2022
Categories: Investor Alerts and AdvisoriesCrypto 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.
Investor Advisory: Reassigned Investment Accounts
Tuesday, April 5, 2022
Categories: Investor Alerts and AdvisoriesThe 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.
State Securities Regulators and CFTC collaborate to Stop $68 Million Precious Metals Scheme that Targeted the Elderly
Tuesday, February 8, 2022
Securities Regulators Announce Top Investor Threats for 2022
Tuesday, January 25, 2022
Categories: Investor Alerts and AdvisoriesThe 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 AdvisoriesAs part of its ongoing effort to raise investor awareness, the North Dakota Securities Department has issued an investor advisory discussing Decentralized Finance (DeFi), a relatively new blockchain-based set of financial products and services.
Bio-Sunn Technologies, Inc., a North Dakota Corporation, Lewis Bauer, Equity Fund International (EFI), Inc., a Georgia Corporation, and Christopher Williams - Cease and Desist, Civil Penalty, Rescission Order
Wednesday, December 1, 2021
Categories: Enforcement ActionsSecurities Regulators Urge Investors to Establish a Trusted Contact to Increase Investor Protection
Tuesday, November 30, 2021 at 03:00 pm
Categories: Investor Alerts and AdvisoriesIn 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 AdvisoriesMutual funds and exchange traded funds (ETFs) offer investors a cost-efficient way to invest in professionally managed portfolios of securities. While it is often tempting to make a purchase based on a fund’s historical performance, informed investors know that past performance is no guarantee of future performance, and that they must review a fund’s prospectus, shareholder reports and portfolio holdings to see if the fund’s risk/return profile aligns with theirs. An informed investor will pay particular attention to a fund’s expense ratio, which, over time, can eat into a fund’s earnings significantly.
Fiduciary Investment Funds, Fiduciary Investment Services, LLC & Mark G. Wagner - Consent Order
Thursday, February 18, 2021
Categories: Enforcement ActionsLos Angeles Precious Metals Dealers Charged by CFTC and State Regulators with $185 Million Fraud Targeting the Elderly
Tuesday, September 29, 2020
Fundrise Entities - Consent Order & Consent to Entry of Order
Friday, July 24, 2020
Categories: Enforcement ActionsLendingClub Corporation - Consent Order & Consent to Entry of Order
Tuesday, July 14, 2020
Categories: Enforcement ActionsNotice 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.
ND Securities Department Recognizes World Elder Abuse Awareness Day: Warns of Risks of Investment Fraud Among Seniors Due to Increased Isolation During COVID-19
Thursday, June 11, 2020
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 AdvisoriesBismarck 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. 2020-02 Temporary Relief for Franchise Registrants Affected by the COVID19 Outbreak Granted
Monday, March 30, 2020
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
ND Securities Department Reminds Investors to Beware of Con Artists Looking to Profit from Fear and Uncertainty
Monday, March 2, 2020
DHA Financial, LLC - Consent Order & Consent to Entry of Order
Monday, March 2, 2020
Categories: Enforcement ActionsTop Investor Threats for 2020
Tuesday, December 24, 2019
Informed Investor Advisory: Affinity Fraud
Tuesday, November 12, 2019
Categories: Investor Alerts and AdvisoriesAffinity fraud is a fraudulent financial scheme that involves a scammer who is or appears to be part of a community or interest group. The scammer builds trust within the group, and exploits that trust to push fraudulent, non-existent, and too-good-to-be-true investments on other members of the group.
NASAA Releases 2019 Enforcement Report Based on 2018 Data
Wednesday, September 11, 2019
NASAA and SEC Explain Application of Securities Law to Opportunity Zone Investments
Monday, July 22, 2019
North Dakota Securities Department Now Accepting Online Filing for Unit Investment Trusts
Thursday, April 4, 2019
Union Bank Payment Coin, a/k/a UBPC, and its Officers, Directors, Agents, and Employees - Cease and Desist Order
Monday, November 19, 2018
Categories: Enforcement ActionsSecurities Commissioner Issues Order Against Union Bank Payment Coin
Monday, November 19, 2018
NASAA Releases Annual Enforcement Report
Wednesday, October 17, 2018
SECURITIES COMMISSIONER ISSUES ORDERS AGAINST 3 MORE COMPANIES PROMOTING INITIAL COIN OFFERINGS IN NORTH DAKOTA
Thursday, October 11, 2018
CacheCoine Corp., and Harlen Lee Ellis - Cease and Desist Order, Notice of Civil Penalty, Notice of Right to Request Hearing
Thursday, October 11, 2018
Categories: Enforcement ActionsSTUDENTS LEARN TO MAKE GOOD FINANCIAL DECISIONS WITH NTC'S DIMES, DOLLARS & DECISIONS
Thursday, October 11, 2018
Advertiza Holdings (Pty) Ltd, a South African registered company, and its Officers, Directors, Agents, and Employees - Cease and Desist Order
Wednesday, October 10, 2018
Categories: Enforcement ActionsLife Cross Coin, a/k/a Lifecrosscoin GmbH, and its Officers, Directors, Agents, and Employees - Cease and Desist Order
Wednesday, October 10, 2018
Categories: Enforcement ActionsCrystal Token and its Officers, Directors, Agents, and Employees - Cease and Desist Order
Wednesday, October 10, 2018
Categories: Enforcement ActionsSECURITIES DEPARTMENT ISSUES ORDERS AGAINST COMPANIES PROMOTING INITIAL COIN OFFERINGS IN NORTH DAKOTA
Wednesday, September 26, 2018
BitConnect LTD and BitConnect International PLC, United Kingdom limited companies, and their Officers, Directors, Agents, and Employees - Cease and Desist Order
Thursday, September 20, 2018
Categories: Enforcement ActionsMagma Foundation, a/k/a Magma Coin, a/k/a Magma, and their Officers, Directors, Agents, and Employees - Cease and Desist Order
Thursday, September 20, 2018
Categories: Enforcement ActionsPension Rewards Platform, a/k/a Pension Rewards, and their Officers, Directors, Agents, and Employees - Cease and Desist Order
Thursday, September 20, 2018
Categories: Enforcement ActionsFBD Ventures II, LLC, and Craig F. Wollenburg - Cease and Desist Order, Order for Rescission, Notice of Right to Request Hearing, Order for Civil Penalty
Friday, June 22, 2018
Categories: Enforcement ActionsBe Cautious of the Crypto Investment Craze
Thursday, May 17, 2018
Categories: Investor Alerts and AdvisoriesCryptocurrencies burst into the investing mainstream in 2017 as the values of some virtual coins and tokens skyrocketed, led by Bitcoin. Mainstream media now feature daily coverage of new cryptocurrencies, coin exchanges, and related investment products.
What to Know about ICOs
Thursday, May 17, 2018
Categories: Investor Alerts and AdvisoriesInitial Coin Offerings (ICOs) are attracting investors interested in new trends in technology investing. Regulation of ICOs is evolving and complex.
Main Street Hospitality, LLC, and Robert Pagan - Consent to Entry of Order, Consent Order
Monday, May 14, 2018
Categories: Enforcement ActionsSECURITIES COMMISSIONER ANNOUNCES ADDITIONAL $596,000 IN REPAYMENT FOR WANNER PONZI VICTIMS
Thursday, March 29, 2018
Main Street Hospitality, LLC, and Robert Pagan - Cease and Desist Order, Order for Rescission, Notice of Right to Request Hearing, Order for Civil Penalty
Thursday, March 8, 2018
Categories: Enforcement ActionsH. Michael Hardy, RSE, Inc., and Hardy Management Group, LLC - Consent Order
Monday, February 26, 2018
Categories: Enforcement ActionsSecurities Commissioner Reminds Investors to Approach Cryptocurrency with Caution
Thursday, January 4, 2018
Categories: Investor Alerts and AdvisoriesBismarck, 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.
Rash Enterprises, LLC, Taylor Rash, and Tom Doll - Cease and Desist Order, Order for Rescission, Notice of Right to Request Hearing, Order for Civil Penalty
Friday, December 15, 2017
Categories: Enforcement ActionsElements Franchising, LLC and Christopher J. Palumbo - Desist and Refrain Order, Notice of Right to Request Hearing, Order for Civil Penalty
Friday, December 15, 2017
Categories: Enforcement ActionsPennies to Paychecks Energizes North Dakota Students
Friday, October 27, 2017
Securities Commissioner Announces $2.4 Million Settlement in Wanner Ponzi Scheme
Monday, August 7, 2017
Questar Capital Corporation - Settlement Agreement
Monday, July 31, 2017
Categories: Enforcement ActionsSusan L. Welo, Welo Wealth Management - Cease and Desist Order, Notice of Right to Request Hearing
Friday, July 21, 2017
Categories: Enforcement ActionsSecurities Commissioner Issues Cease and Desist Order Against Susan L. Welo
Friday, July 21, 2017
Escheatment: Do You Have Unclaimed Property Sitting with the Government?
Tuesday, August 30, 2016
Categories: Investor Alerts and AdvisoriesEscheatment is a process whereby the government takes ownership of property, including financial assets, that has been deemed abandoned by the property’s rightful owner. Escheatment of financial accounts typically occurs after a period of account-related dormancy (or “inactivity”) and after attempts to identify and contact the account owners have failed.
EB-5 Fraud: Immigrant Investors Beware
Tuesday, August 30, 2016
Categories: Investor Alerts and AdvisoriesIn an effort to stimulate the U.S. economy through job creation and capital investment by foreign investors, the U.S. Congress in the early 1990s authorized the creation of a new type of immigrant visa known as the Employment-Based, Fifth Preference (EB-5) visa.
Douglas E. Arends - Cease and Desist Order, Notice of Civil Penalty, Notice of Right to Request Hearing
Tuesday, July 12, 2016
Categories: Enforcement ActionsFirst Financial Equity Corporation - Agreement
Monday, June 13, 2016
Categories: Enforcement ActionsSmall Business Advisory: Crowdfunding
Thursday, May 26, 2016 at 11:05 am
Categories: Investor Alerts and AdvisoriesThe 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 AdvisoriesThe 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 AdvisoriesThe 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 AdvisoriesA 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 Finalizes Agreement with LPL Financial LLP, Regarding Sales of Non-traded Real Estate Investment Trusts
Wednesday, February 17, 2016
NORTH DAKOTA SECURITIES DEPARTMENT RELEASES TOP INVESTOR THREATS
Wednesday, January 20, 2016
Categories: Human ServicesKevin D. Wanner, Precision Financial Services, Questar Capital Corporation - Order to Revoke the Agent Registration
Thursday, December 31, 2015
Categories: Enforcement ActionsThird-Party Asset Recovery Companies: Are They Advocating for You?
Friday, December 11, 2015 at 11:00 pm
Categories: Investor Alerts and AdvisoriesVictims 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...
Kevin D. Wanner, Precision Financial Services, Questar Capital Corporation - Proposed Order to Revoke Agent Registration, Cease and Desist Order, Order for Summary Suspension of the Agent Registration, Notice of Right to Request Hearing
Friday, December 4, 2015
Categories: Enforcement ActionsInvestor Bulletin: Exchange Traded Notes (ETNs)
Wednesday, December 2, 2015 at 11:01 am
Categories: Investor Alerts and AdvisoriesThe 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 AdvisoriesThe 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 ActionsBe Wary of The Next Big Thing in Investments
Friday, November 20, 2015 at 11:00 am
Categories: Investor Alerts and AdvisoriesAt first glance, marijuana, binary options, and digital currency appear to have no real connection to one another. But what they all have in common is their recent emergence as three investments that both sellers and buyers hope will become the "next big thing." Before you consider investing, make sure you understand what these products are, their benefits, and their risks.
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.
Halcyon Cabot Partners - Order to Revoke the Dealer Registration, Order for Summary Suspension of the Dealer Registration, Notice of Right to Request Hearing
Monday, October 12, 2015
Categories: Enforcement ActionsNon-traded REITs
Wednesday, September 30, 2015 at 11:00 am
Categories: Investor Alerts and AdvisoriesThe 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 AdvisoriesThe 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 AdvisoriesSavvy 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 AdvisoriesThe SEC’s Office of Investor Education and Advocacy and the CFPB’s Office for Older Americans are issuing this bulletin to help investors and consumers understand the potential impact of diminished capacity on their ability to make financial decisions and to encourage investors and consumers to plan for possible diminished financial capacity well before it happens.
Paul De Bastos, North Dakota Bakken Connection, LLC - Cease and Desist Order, Notice of Civil Penalty, Notice of Right to Request Hearing
Tuesday, June 16, 2015
Categories: Enforcement ActionsPanda Trucking, LLC, Daniel E. Jenkins - Consent to Entry of Order, Consent Order
Friday, June 12, 2015
Categories: Enforcement ActionsAutomated Investment Tools
Friday, May 8, 2015 at 11:00 am
Categories: Investor Alerts and AdvisoriesThe 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' HomeNorth Dakota Developments, LLC, Robert Lee Gavin, Daniel John Hogan - Cease and Desist Order, Notice of Right to Request Hearing
Tuesday, May 5, 2015
Categories: Enforcement ActionsPanda Trucking, LLC, Daniel E. Jenkins - Cease and Desist Order, Order for Rescission, Notice of Right to Request Hearing, Order for Civil Penalty
Monday, January 26, 2015
Categories: Enforcement ActionsDempsey Lord Smith, LLC - Consent to Entry of Order, Consent Order
Tuesday, January 20, 2015
Categories: Enforcement ActionsHIGH-YIELD INVESTMENT PROGRAMS: Don't Get Roped In
Wednesday, November 26, 2014 at 11:00 am
Categories: Investor Alerts and AdvisoriesThe 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 AdvisoriesThis 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
Western North Dakota Students Make Sense of Finance With Sketch Comedy
Thursday, October 2, 2014
J. P. Morgan Securities, LLC - Administrative Consent Order
Sunday, August 24, 2014
Categories: Enforcement ActionsLandolt Securities, Inc. - Consent to Entry of Order, Consent Order
Monday, July 28, 2014
Categories: Enforcement ActionsEvent: Investment Fraud Seminars to Be Held in 6 Cities
Thursday, July 17, 2014
Virtual Currency
Wednesday, June 11, 2014 at 11:00 am
Categories: Investor Alerts and AdvisoriesNorth Dakota Securities Department ISSUES INVESTOR ADVISORY ON VIRTUAL CURRENCY
It pays to know what’s in your e‐Wallet
Social Voucher.com, Inc., Gerald C. Parker - Consent to Entry of Order, Consent Order
Friday, June 6, 2014
Categories: Enforcement ActionsATEL Securities Corporation - Consent to Entry of Order, Consent Order
Friday, May 9, 2014
Categories: Enforcement ActionsMidwest Gold Company, LLC, Kirk Scott Grace - Cease and Desist Order, Notice of Civil Penalty, Notice of Right to Request Hearing
Friday, March 14, 2014
Categories: Enforcement ActionsMorgan Asset Management, Inc., Morgan Keegan & Company, Inc. - Consent to Entry of Order, Administrative Consent Order
Monday, February 24, 2014
Categories: Enforcement ActionsUBS Financial Services, Inc. - Consent to Entry of Order, Consent Order
Monday, October 14, 2013
Categories: Enforcement ActionsRBC Capital Markets, LLC - Consent to Entry of Order, Administrative Consent Order
Friday, September 27, 2013
Categories: Enforcement ActionsEdwin Brent Lundgren - Order Refusing Registration as an Agent
Friday, September 20, 2013
Categories: Enforcement ActionsFormer 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 AdvisoriesFinancial professional titles and licenses are not the same. A financial professional may use various titles whether or not he or she is registered or licensed with a regulatory authority. Financial professionals that are registered as a broker-dealer or investment adviser have obtained registrations and licenses granted by federal or state regulatory authorities. Working with a financial professional who is registered with or licensed by federal or state authorities affords you certain legal protections.
Edwin Brent Lundgren - Order to Summarily Postpone the Approval of Respon, Notice of Civil Penalty, Order Refusing Registration as an Agent, Order for Rescission, Notice of Right to Request Hearing
Tuesday, August 13, 2013
Categories: Enforcement ActionsEnergy Investments
Monday, July 1, 2013 at 11:00 am
Categories: Investor Alerts and AdvisoriesWith energy demands and a desire for energy independence increasing globally, investments in traditional and alternative energy resources are being promoted more often and are becoming attractive to more investors. Some examples include: wind turbines, solar panels, biodiesel, ethanol, coal, oil, gas, hydrogen, wave, geothermal, oil sands, and liquefied natural gas. Many of these investments are highly risky and are usually not appropriate for all investors. It is not unusual for unscrupulous promoters to follow the headlines and take advantage of unsuspecting investors by engaging in fraudulent practices.
Promoters sometimes prey on investors interested in socially responsible products by labeling them as “green energy” investment opportunities. The phrase “green energy” implies that the products are ecologically friendly when in fact the promoters may be operating a fraudulent shell company and not producing anything.
Peachtree Partners, Ira J. Gaines - Stop Order Summarily Suspending the Offer and Sale, Notice of Right to Request Hearing
Tuesday, June 11, 2013
Categories: Enforcement ActionsPeachtree Partners, Ira J. Gaines - Order to Suspend Securities Registration, Notice of Right to Request Hearing
Tuesday, May 14, 2013
Categories: Enforcement ActionsAre You an Informed Investor? Financial Service Providers
Wednesday, April 24, 2013 at 11:00 am
Categories: Investor Alerts and AdvisoriesWhether 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.
IT PAYS TO UNDERSTAND THE DIFFERENT ROLES OF FINANCIAL PROFESSIONALS
Tuesday, April 23, 2013
Inland National Securities, Inc., David Theusch - Consent Order
Tuesday, April 16, 2013
Categories: Enforcement ActionsSCOTT BIGGS, A FORMER DICKINSON INSURANCE AGENT CONVICTED AND SENTENCED
Wednesday, April 10, 2013
NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION (NASAA) ISSUES INVESTOR ADVISORY ON PRIVATE PLACEMENT OFFERINGS
Monday, April 8, 2013
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
Roman Novak, Radoslav Novak, Inter Reef Ltd., Profitable Sunrise - Cease and Desist Order, Notice of Civil Penalty, Order for Rescission, Notice of Right to Request Hearing
Thursday, March 14, 2013
Categories: Enforcement ActionsSECURITIES COMMISSIONER ORDERS PROFITABLE SUNRISE TO CEASE AND DESIST FROM SELLING SECURITIES IN NORTH DAKOTA
Thursday, March 14, 2013
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? Social Networking
Thursday, March 7, 2013 at 11:00 am
Categories: Investor Alerts and AdvisoriesSocial Networking in the Internet age allows people to connect to one another more quickly and easily than ever before. Investment promoters increasingly are logging on to find investors...and their money.
Before investing through a social network, ask yourself these questions: Have I verified that the promoter is legitimate? Do I understand the risks of the investment?
Are you an informed investor? Exchange Traded Funds - ETFs
Thursday, March 7, 2013 at 11:00 am
Categories: Investor Alerts and AdvisoriesExchange 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 AdvisoriesMany 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 AdvisoriesThe 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 AdvisoriesHistorically speaking, the value of gold-related investments fluctuates even more than the stock market. Gold often moves in reverse of stocks and bonds, so when stocks are down, gold seems like a very tempting investment. Before jumping onto the gold bandwagon, there are a few things you might want to consider.
Impact Energy, LLC, Eugene L. McArthur, Jr., Mike Ladue, Lynne Hanson - Consent Order
Tuesday, February 26, 2013
Categories: Enforcement ActionsUVEST Financial Services Group, Inc. - Consent Order
Monday, November 26, 2012
Categories: Enforcement ActionsBankers Life and Casualty Company and BLC Financial Services, Inc. - Consent Order
Wednesday, October 17, 2012
Categories: Enforcement ActionsFirst Call Ventures, LLC d/b/a First Call Movers, Thomas M. White - Order to Vacate, Cease and Desist Order
Tuesday, September 25, 2012
Categories: Enforcement ActionsCaldwell International Securities Corporation - Consent Order, Consent to Entry of Order
Monday, August 27, 2012
Categories: Enforcement ActionsSECURITIES COMMISSIONER ISSUES CEASE AND DESIST ORDER - New Hi-Tech Oil & Gas Discoveries, LLC
Wednesday, August 15, 2012
New Hi-Tech Oil & Gas Discoveries, LLC, Dennis W. Stutes - Stop Order Summarily Suspending the Offer and Sale
Monday, August 13, 2012
Categories: Enforcement ActionsSECURITIES COMMISSIONER ISSUES CEASE AND DESIST ORDER - Freedom USA Investing, LLC
Tuesday, July 31, 2012
Freedom USA Investing, LLC, James Young - Cease and Desist Order
Tuesday, July 31, 2012
Categories: Enforcement ActionsRobert H. Medhus, RTM, Ltd., Medhus Company, Associated Financial Services, Inc. - Cease and Desist Order
Thursday, June 21, 2012
Categories: Enforcement ActionsSECURITIES COMMISSIONER ISSUES CEASE AND DESIST ORDER - Robert H. Medhus
Thursday, June 21, 2012
First Call Ventures, LLC d/b/a First Call Movers, Thomas M. White, Please see VACATED ORDER - Cease and Desist Order
Monday, April 30, 2012
Categories: Enforcement ActionsREGISTRATION OF ASSET-BACKED SECURITIES
Tuesday, March 20, 2012
STATEMENT OF POLICY REGARDING CHURCH EXTENSION FUND SECURITIES
Tuesday, March 20, 2012
STATEMENT OF POLICY REGARDING CHURCH BONDS
Tuesday, March 20, 2012
REGISTRATION OF PUBLICLY OFFERED CATTLE-FEEDING PROGRAMS
Tuesday, March 20, 2012
REGISTRATION OF COMMODITY POOL PROGRAMS
Tuesday, March 20, 2012
Hartford Equity Sales Company Inc., Craig H. Miller - Consent Order, Consent to Entry of Order
Monday, March 5, 2012
Categories: Enforcement ActionsAlan Bernhagen - Consent Order, Consent to Entry of Order
Monday, March 5, 2012
Categories: Enforcement ActionsPiper Jaffray & Co., Brady Vollmers - Consent Order, Consent to Entry of Order
Thursday, February 16, 2012
Categories: Enforcement ActionsCore Funding Group, L.P., Thomas F. Emmick - Cease and Desist Order
Wednesday, February 8, 2012
Categories: Enforcement ActionsE*TRADE SECURITIES, LLC - Administrative Consent Order, Consent to Entry of Order
Wednesday, February 1, 2012
Categories: Enforcement ActionsSTATE STOCK MARKET GAME WINNERS ANNOUNCED FOR MIDDLE SCHOOL
Monday, January 23, 2012
Piper Jaffray & Co., Brady Vollmers - Order for and Notice of Civil Penalty
Friday, January 13, 2012
Categories: Enforcement ActionsAssociated Financial Services, Inc. - Order to Revoke the Dealer Registration
Thursday, January 12, 2012
Categories: Enforcement ActionsRESOLVE TO CHECK BEFORE YOU INVEST IN 2012
Tuesday, January 3, 2012
Ronald Dean Bennett d/b/a Ron Bennett Commercial Real Estate - Cease and Desist Order
Wednesday, December 21, 2011
Categories: Enforcement ActionsSECURITIES COMMISSIONER ISSUES CEASE AND DESIST ORDER
Friday, December 16, 2011
Brent Kitzan d/b/a Kitzan & Associates - Cease and Desist Order
Wednesday, December 14, 2011
Categories: Enforcement ActionsAssociated Financial Services, Inc. - Order for Summary Suspension of the Dealer Registration
Tuesday, December 6, 2011
Categories: Enforcement ActionsND 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
Raymond James & Associates, Inc., Raymond James Financial Services, Inc. - Administrative Consent Order
Monday, September 26, 2011
Categories: Enforcement ActionsA. J. Balfour & Group, Inc., Joseph L. Allen - Cease and Desist Order
Friday, July 15, 2011
Categories: Enforcement ActionsGlobal 1 Consulting, LLC, Joe Suarez - Cease and Desist Order
Friday, July 15, 2011
Categories: Enforcement ActionsGibraltar Partners, Inc., Anthony John Johnson - Cease and Desist Order
Monday, May 23, 2011
Categories: Enforcement ActionsRAHFCO Management Group, LLC - Stop Order Summarily Suspending the Offer and Sale
Wednesday, May 4, 2011
Categories: Enforcement ActionsBio-Sunn, Inc., Lewis A. Bauer - Consent Order
Friday, April 22, 2011
Categories: Enforcement ActionsFORMER BROKER'S PROBATION REVOCATION AFFIRMED ON APPEAL
Wednesday, November 10, 2010
Jason P. Fettig - Order Refusing Registration as an Agent
Monday, October 18, 2010
Categories: Enforcement ActionsPop N Go, Inc., Melvin J. Wyman - Cease and Desist Order
Monday, October 18, 2010
Categories: Enforcement ActionsBradley James Stroup - Cease and Desist Order
Friday, October 15, 2010
Categories: Enforcement ActionsND SECURITIES BRINGS MAD ABOUT MONEY TO SCHOOLS
Wednesday, September 22, 2010
David W. Torson - Cease and Desist Order
Tuesday, September 14, 2010
Categories: Enforcement ActionsSTATE SECURITIES REGULATORS IDENTIFY TOP INVESTOR TRAPS
Tuesday, August 17, 2010
RAHFCO Management Group, LLC - Consent Order
Thursday, July 15, 2010
Categories: Enforcement ActionsNEW ONLINE SERVICE PROVIDES BACKGROUND INFORMATION ABOUT INVESTMENT ADVISER REPRESENTATIVES
Tuesday, June 29, 2010
Goldman, Sachs & Co. - Administrative Consent Order
Tuesday, June 22, 2010
Categories: Enforcement ActionsBlue Investments, LLC, Travis Richey - Cease and Desist Order
Tuesday, June 8, 2010
Categories: Enforcement ActionsREGISTRATION DEADLINE FOR INVEST ND TEACHERS ACADEMY
Tuesday, June 1, 2010
FORMER BROKER CHARGED WITH THEFT AND SECURITIES FRAUD
Thursday, May 20, 2010
Wells Fargo Investments, LLC - Administrative Consent Order
Friday, May 14, 2010
Categories: Enforcement ActionsUBS Securities, LLC, UBS Financial Services Inc. - Administrative Consent Order
Monday, April 26, 2010
Categories: Enforcement ActionsStifel, Nicolaus & Company, Incorporated , , - Administrative Consent Order
Monday, April 12, 2010
Categories: Enforcement ActionsINVEST N.D. CELEBRATES 15TH ANNUAL TEACHERS ACADEMY
Wednesday, April 7, 2010
James R. Bullis, Montgomery, Goff & Bullis, P.C. - Consent to Entry of Order, Consent Order
Monday, November 23, 2009
Categories: Enforcement ActionsN.D. SECURITIES BRINGS MAD ABOUT MONEY THEATRICAL PRODUCTION TO SCHOOLS
Thursday, September 17, 2009
THE STOCK MARKET GAME POSITIVELY AFFECTS STUDENTS’ ACADEMIC PERFORMANCE
Thursday, September 10, 2009
JP Morgan Chase & Co. - Administrative Consent Order
Monday, August 17, 2009
Categories: Enforcement ActionsRBC Capital Markets Corporation - Administrative Consent Order
Monday, June 22, 2009
Categories: Enforcement ActionsMerrill Lynch, Pierce, Fenner & Smith Incorporated - Administrative Consent Order
Monday, June 22, 2009
Categories: Enforcement ActionsBanc of America Securities LLC, Banc of America Investment Services, Inc. - Administrative Consent Order
Friday, June 12, 2009
Categories: Enforcement ActionsREGISTRATION DEADLNE FOR INVEST ND TEACHERS ACADEMY
Tuesday, June 2, 2009
Prosper Marketplace, Inc. - Administrative Consent Order
Tuesday, May 19, 2009
Categories: Enforcement ActionsWachovia Securities, LLC, Wachovia Capital Markets, LLC - Administrative Consent Order
Wednesday, April 1, 2009
Categories: Enforcement ActionsCitigroup Global Markets Inc. - Administrative Consent Order
Wednesday, April 1, 2009
Categories: Enforcement ActionsTEACHER ALERT - APPLY TO ATTEND INVEST NORTH DAKOTA
Tuesday, March 31, 2009
APPROXIMATELY $2.9 MILLION REPAID TO NORTH DAKOTA INVESTORS
Monday, March 2, 2009
NORTH DAKOTA SECURITIES DEPARTMENT REMINDS AUCTION RATE SECURITIES INVESTORS TO CONTACT FIRMS ABOUT BUYBACK OFFERS
Monday, November 24, 2008
COMMISSIONER TYLER ISSUES CEASE AND DESIST ORDER AGAINST BRUCE A. HAGER
Thursday, November 13, 2008
North Dakota Securities Dept Announces IARD System Fee Waiver
Friday, October 31, 2008
NORTH DAKOTA SECURITIES DEPARTMENT ANNOUNCES IARD SYSTEM FEE WAIVER
Friday, October 31, 2008
Nicholas Alexander Smirnow aka Nick Smirnow, doing business under the Ontario registered Business Name P-2-P NETWORK - Cease and Desist Order
Thursday, October 16, 2008
Categories: Enforcement ActionsSECURITIES DEPARTMENT CLARIFIES INTERNET FRAUD WARNING
Thursday, September 25, 2008
STOCK MARKET GAME STUDENTS SHOW MORE FINANCIAL KNOWLEDGE
Tuesday, September 23, 2008
N.D. SECURITIES TO SPONSOR MAD ABOUT MONEY PERFORMANCES FOR STUDENTS
Tuesday, September 16, 2008
AUCTION RATE SECURITIES SETTLEMENTS
Wednesday, August 20, 2008
Jonathan Brewer, Cyprus Builders, Inc. - Cease and Desist Order
Friday, August 15, 2008
Categories: Enforcement ActionsSECURITIES COMMISSIONER WARNS OF INTERNET FRAUD
Wednesday, August 6, 2008
Inland National Securities, Inc., David Theusch, Keith Theusch - Consent Order
Thursday, July 31, 2008
Categories: Enforcement ActionsMorgan Stanley & Co. Incorporated - Findings of Fact
Monday, July 21, 2008
Categories: Enforcement ActionsLarry M. Atkins, Atkins Brokerage Services, Inc., Retirement Planning Concepts, Inc., Retirement Income Planning, Inc., Retirement Navigation, Inc. - Order for Permanent Injunction
Thursday, July 17, 2008
Categories: Enforcement ActionsRothschild Investment Corporation, Paul E. Geringer, Christian P. Geringer - Consent Order
Monday, June 16, 2008
Categories: Enforcement ActionsTrue Investments Inc., Ty Olstad - Notice of Right to Request Hearing, Order for Civil Penalty
Monday, June 9, 2008
Categories: Enforcement ActionsSECURITIES COMMISSIONER SEEKS INJUNCTION OF SALES OF UNREGISTERED PROMISSORY NOTES
Friday, April 25, 2008
Larry M. Atkins, Atkins Brokerage Services, Inc., Retirement Planning Concepts, Inc., Retirement Income Planning, Inc., Retirement Navigation, Inc. - Ex Parte Order for Preliminary Injunction
Tuesday, April 22, 2008
Categories: Enforcement ActionsNORTH DAKOTA SECURITIES REMINDS INVESTORS THAT SCAMS OFTEN HIDE BEHIND THE HEADLINES
Tuesday, January 29, 2008
Ashmore Family Foundation, a Minnesota Charitable Trust, Flint Ashmore, Monte R. Ashmore - Consent Order
Thursday, January 24, 2008
Categories: Enforcement ActionsLAS International, Ltd., Neil Whittey, Syver Vinje - Stipulation for Amendment of Consent Order
Friday, January 11, 2008
Categories: Enforcement ActionsLAS International, Ltd., Neil Whittey, Syver Vinje (also see order on 6/19/07) - Stipulation for Amendment
Friday, January 11, 2008
Categories: Enforcement ActionsCOORDINATED EXAMINATIONS IDENTIFY INVESTMENT DEFICIENCIES
Tuesday, October 16, 2007
Ashmore Family Foundation, Flint Ashmore, Monte R. Ashmore - Cease and Desist Order
Thursday, October 4, 2007
Categories: Enforcement ActionsSECURITIES COMMISSIONER ELECTED TO ONE-YEAR TERM AS PRESIDENT OF NASAA
Tuesday, October 2, 2007
N.D. SECURITIES TO SPONSOR MAD ABOUT MONEY PERFORMANCES TO STUDENTS
Monday, September 10, 2007
True Investments Inc., Ty Olstad, J & C Entertainment, James Carson - Cease and Desist Order
Friday, July 6, 2007
Categories: Enforcement ActionsVivian V. Gwin - Order to Summarily Postpone the Approval of Respon
Tuesday, June 26, 2007
Categories: Enforcement ActionsFirst Union Securities, Inc., later known as Wachovia Securities, Inc., now known as Wachovia Securities, LLC - Consent Order
Tuesday, June 19, 2007
Categories: Enforcement ActionsLAS International, Ltd., Neil Whittey, Syver Vinje - Consent Order
Tuesday, June 19, 2007
Categories: Enforcement ActionsREGISTRATION DEADLINE FOR TEACHERS ACADEMY
Tuesday, June 5, 2007
LAS International, Ltd., Neil Whittey, Syver Vinje, (SEE JUNE 19TH CONSENT ORDER) -
Friday, May 25, 2007
Categories: Enforcement ActionsAmericans for Lawful Financial Independence & Information, MY ICIS, Inc., Wayne Hicks, Lori Hicks - Cease and Desist Order
Thursday, May 17, 2007
Categories: Enforcement ActionsSTATE STOCK MARKET GAME WINNERS ANNOUNCED
Tuesday, May 15, 2007
DALEY JOINS N.D. SECURITIES DEPARTMENT
Thursday, May 3, 2007
Samuel G. Loumer, Michael Kramer - Consent Agreement
Tuesday, May 1, 2007
Categories: Enforcement ActionsIRAX International, LLC, Impact Industries International, LLC, Financial Planning Services, Inc., Bruce Anderson - Consent Order
Monday, March 12, 2007
Categories: Enforcement ActionsCD Acquisition Group, LLC, David Mees - Consent Order
Saturday, March 3, 2007
Categories: Enforcement ActionsSECURITIES DEPARTMENT ANNOUNCES STATE ESSAY WINNER
Thursday, February 1, 2007
A. G. Edwards & Sons, Inc. - Consent Order
Tuesday, January 23, 2007
Categories: Enforcement ActionsSECURITIES DEPARTMENT ANNOUNCES STOCK MARKET GAME WINNERS
Tuesday, January 16, 2007
NEWS AND VIEWS NEWSLETTER
Monday, January 1, 2007
SECURITIES COMMISSIONER RECOVERS MONEY FOR INVESTORS
Friday, December 15, 2006
Wachovia Capital Markets, LLC - Consent Order
Monday, December 4, 2006
Categories: Enforcement ActionsBanker's Life and Casualty Company - Consent Order
Friday, November 17, 2006
Categories: Enforcement ActionsBerthel Fisher and Company Financial Services, Inc., Timothy Hayden - Consent Order
Tuesday, October 31, 2006
Categories: Enforcement ActionsReady Cash, Inc., Donald Gehrig - Consent Agreement
Monday, October 30, 2006
Categories: Enforcement ActionsTYLER NEW PRESIDENT-ELECT OF NASAA
Wednesday, October 11, 2006
ACAP Financial, Inc., Donald Fisher - Consent Agreement
Tuesday, October 10, 2006
Categories: Enforcement ActionsLincoln Financial Advisors Corp. - Consent Agreement
Monday, October 9, 2006
Categories: Enforcement ActionsSECURITIES COMMISSIONER APPLAUDS ENACTMENT OF LEGISLATION TO PROTECT MILITARY PERSONNEL FROM UNSCRUPULOUS SALES OF INSURANCE AND INVESTMENT PRODUCTS
Tuesday, October 3, 2006
Investment Centers of America, Inc., Larry A. Fust - Consent Agreement
Thursday, September 14, 2006
Categories: Enforcement ActionsMAD ABOUT MONEY PERFORMANCES TO REACH 1700 ND STUDENTS
Thursday, September 14, 2006
UNREGISTERED PROMISSORY NOTES HALTED
Wednesday, September 6, 2006
Capital Growth Financial, LLC, Ross O. Haugen -
Wednesday, September 6, 2006
Categories: Enforcement ActionsDavid A. Skjerven, Skjerven Financial Services - Cease and Desist Order
Thursday, August 31, 2006
Categories: Enforcement ActionsProTrust Financial Group, Inc., ProTrust Management Group, Inc., Gordon B. Grigg - Cease and Desist Order
Wednesday, June 28, 2006
Categories: Enforcement ActionsPiper Jaffray & Co., Brady Vollmers - Consent Order
Wednesday, June 28, 2006
Categories: Enforcement ActionsAnton Kunz, The ABC System - Cease and Desist Order
Wednesday, May 24, 2006
Categories: Enforcement ActionsNational Forex Corp., Dennis Drake - Cease and Desist Order
Monday, May 1, 2006
Categories: Enforcement ActionsViper Acquisition, LLC, Mees Masonry Corp., Riverside RV Rentals, Inc., Dig-it Underground, Inc., R. Lang Construction, Inc., Calvin K. Mees, Wade J. Vogel - Cease and Desist Order
Monday, April 17, 2006
Categories: Enforcement ActionsI2U, Inc., Harold Richard Mladek - Default Order
Thursday, April 13, 2006
Categories: Enforcement ActionsTYLER TO MODERATE FORUM ON HEDGE FUND RETAILIZATION
Wednesday, March 29, 2006
James R. Bullis, Montgomery, Goff & Bullis, P.C. - Cease and Desist Order
Tuesday, March 21, 2006
Categories: Enforcement ActionsHarmony Consultants, Inc., Conejo Valley Consultants, Inc., Mel Rosoff a/k/a Mel Fields - Cease and Desist Order
Wednesday, March 8, 2006
Categories: Enforcement ActionsN.D. SECURITIES DEPARTMENT RELEASES UNLUCKY 13 List of Investor Traps for 2006
Thursday, February 23, 2006
Kea-Watt and Associates, Ltd., Joseph Henry Kalina, Larry Gene Kalina, Terry Wanless - Cease and Desist Order
Monday, February 6, 2006
Categories: Enforcement ActionsDakota Payphone, LLC - Order to Revoke the Securities Registrations
Thursday, February 2, 2006
Categories: Enforcement ActionsThomas Weisel Partners, LLC - Administrative Consent Order
Friday, January 13, 2006
Categories: Enforcement ActionsREGULATORS URGE INVESTORS TO CAREFULLY CHECK CREDENTIALS OF 'SENIOR SPECIALISTS'
Wednesday, December 14, 2005
Kevin David Wells - Order to Revoke the Agent Registration
Friday, December 9, 2005
Categories: Enforcement ActionsDominion Investments, Inc., Tony Adams - Cease and Desist Order
Thursday, December 8, 2005
Categories: Enforcement ActionsI2U, Inc., Harold Richard Mladek - Cease and Desist Order
Tuesday, November 22, 2005
Categories: Enforcement ActionsWADDELL & REED AGREES TO CONSENT ORDER BY NORTH DAKOTA INSURANCE AND SECURITIES COMMISSIONER
Thursday, October 27, 2005
MAD ABOUT MONEY PERFORMANCES TO REACH 3500 ND STUDENTS
Thursday, September 22, 2005
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 ActionsNORTH DAKOTA SECURITIES DEPARTMENT ADVISES INVESTORS TO BEWARE OF HURRICANE-RELATED SCAMS
Tuesday, September 6, 2005
Piper Jaffray & Co., Brady Vollmers - Notice of Civil Penalty
Monday, August 29, 2005
Categories: Enforcement ActionsDeutsche Bank Securities, Inc. - Administrative Consent Order
Friday, August 26, 2005
Categories: Enforcement ActionsA. G. Edwards & Sons, Inc., Daniel M. Schmidt - Notice of Civil Penalty
Thursday, August 11, 2005
Categories: Enforcement ActionsPREPARING STUDENTS FOR THEIR FINANCIAL FUTURES
Tuesday, July 12, 2005
Government Benefit Services, Glen W. Finley, Jr. - Cease and Desist Order
Tuesday, July 5, 2005
Categories: Enforcement ActionsINVEST ND TEACHER REGISTRATION DEADLINE
Thursday, June 9, 2005
Schwartz Investment Management Company, James Schwartz - Consent Order
Friday, June 3, 2005
Categories: Enforcement ActionsAssemblies of God Loan Fund - Consent Agreement
Friday, May 20, 2005
Categories: Enforcement ActionsIntegrity Mutual Funds, Inc. f/k/a ND Holdings, Inc., ND Capital Inc., Robert E. Walstad - Order to Vacate Notice of Civil Penalty
Thursday, May 5, 2005
Categories: Enforcement ActionsPiper Jaffray & Co., Terry Millner - Consent Order
Thursday, May 5, 2005
Categories: Enforcement ActionsOPPORTUNITY FOR NORTH DAKOTA TEACHERS
Thursday, April 7, 2005
NORTH DAKOTA SECURITIES DEPARTMENT NAMES TOP 10 THREATS TO INVESTORS
Tuesday, April 5, 2005
Integrity Mutual Funds, Inc. f/k/a ND Holdings, Inc., ND Capital, Inc., Robert E. Walstad - Undertaking
Wednesday, March 16, 2005
Categories: Enforcement ActionsThird Ridge Capital, LP, Third Ridge Capital Partners, LLC, Edward Neugeboren, Keith Barksdale - Agreement
Wednesday, February 23, 2005
Categories: Enforcement ActionsCapital Growth Financial, LLC - Notice of Civil Penalty
Thursday, February 10, 2005
Categories: Enforcement ActionsFARGO AGENT DENIED REGISTRATION
Wednesday, January 26, 2005
Bison Capital Management, LLC - Proposed Order to Refuse Investment Advisor Registration
Wednesday, January 26, 2005
Categories: Enforcement ActionsInvestment Advisory Services, Thomas H. Marsden - Consent Order
Thursday, January 20, 2005
Categories: Enforcement ActionsImpact Industries International, LLC, Financial Planning Services, Inc., Bruce Anderson, Rodney Kirschmann - Cease and Desist Order
Tuesday, December 21, 2004
Categories: Enforcement ActionsL. H. Ross & Co., Inc., Mintz & Fraade, P.C., Michael Assenza, Kelly Chance, Shannon Norris, Dean Baker - Order to Vacate Cease and Desist Order
Tuesday, December 21, 2004
Categories: Enforcement ActionsIRAX International, LLC, Financial Planning Services, Inc., Bruce Anderson, Rodney Kirschmann - Cease and Desist Order
Tuesday, December 21, 2004
Categories: Enforcement ActionsR. T. Jones Capital Equities, Inc., Frank S. Ladner - Agreement
Thursday, December 16, 2004
Categories: Enforcement ActionsHuntleigh Securities Corporation - Consent Agreement
Wednesday, December 15, 2004
Categories: Enforcement ActionsInvestment Advisory Services, Thomas H. Marsden - Notice of Civil Penalty
Monday, November 22, 2004
Categories: Enforcement ActionsTYLER CHAIRS NASAA EDUCATION CONFERENCE
Tuesday, November 9, 2004
Piper Jaffray & Co., Jason Millner - Consent Order
Monday, October 25, 2004
Categories: Enforcement ActionsSecurities Commissioner Tyler Elected to International Board
Tuesday, October 12, 2004
Delta Trust Investments, Inc., Chad H. Carlson - Consent Order
Friday, September 24, 2004
Categories: Enforcement ActionsL. H. Ross & Co., Inc., Mintz & Fraade, P.C., Michael Assenza, Kelly Chance, Shannon Norris, Dean Baker - Consent Order
Monday, September 20, 2004
Categories: Enforcement ActionsNORTH DAKOTA TO RECEIVE $337,500.00 IN SETTLEMENT
Wednesday, September 15, 2004
INVESTOR ALERT FROM THE NORTH DAKOTA SECURITIES DEPARTMENT
Tuesday, September 7, 2004
GRAND FORKS BROKER SUSPENDED
Thursday, September 2, 2004
Global eScience Corp., Virgil Hentz - Cease and Desist Order
Monday, August 30, 2004
Categories: Enforcement ActionsCOMMISSIONER TYLER SPEAKS AT NATIONAL ECONOMIC CRIME SUMMIT
Tuesday, August 17, 2004
Ross Owen Haugen - Order for Summary Suspension of the Investment Advisor Registration
Friday, August 13, 2004
Categories: Enforcement ActionsInterSecurities, Inc., Richard Colling - Consent Order
Thursday, August 12, 2004
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Larry Borud - Consent Order
Wednesday, July 28, 2004
Categories: Enforcement ActionsBerthel, Fisher & Company Financial Services, Inc., Lawrence W. Warren - Consent Order
Wednesday, July 28, 2004
Categories: Enforcement ActionsHELPING TEACHERS BRING PERSONAL FINANCE EDUCATION INTO THE CLASSROOM
Tuesday, July 6, 2004
Preferred Trust and Management, LTD, Ron Stafford - Consent Order
Wednesday, June 30, 2004
Categories: Enforcement ActionsPreferred Trust and Management, LTD, Thomas Deschamp - Consent Order
Tuesday, June 29, 2004
Categories: Enforcement ActionsPREFERRED TRUST VICTIMS REPAID
Tuesday, June 22, 2004
TEACHERS ACADEMY REGISTRATION DEADLINE
Tuesday, June 8, 2004
Grainline.com, Scott D. Olson, Kent Sortland - Consent Order
Tuesday, May 25, 2004
Categories: Enforcement ActionsCOMMISSIONER TYLER ADDRESSES FEDERAL FINANCIAL LITERACY AND EDUCATION COMMISSION
Thursday, May 20, 2004
The (Wilson) Williams Financial Group, Inc., Sidney Mondschein - Undertaking and Agreement
Thursday, May 13, 2004
Categories: Enforcement ActionsPrincipal Life Insurance Company - Consent Agreement
Thursday, April 22, 2004
Categories: Enforcement ActionsINVEST NORTH DAKOTA TEACHERS' ACADEMY SCHEDULED
Tuesday, April 13, 2004
Preferred Trust and Management, LTD, Dick Schultz - Consent Order
Thursday, March 18, 2004
Categories: Enforcement ActionsIntegrity Mutual Funds, Inc., ND Capital, Inc., Robert E. Walstad - Notice of Civil Penalty
Monday, March 15, 2004
Categories: Enforcement ActionsTri-West Investment Club, Wesley Leroy Hiller - Consent Order
Monday, March 15, 2004
Categories: Enforcement ActionsL. H. Ross & Co., Inc., Mintz & Fraade, P.C., Michael Assenza, Kelly Chance, Shannon Norris, Dean Baker -
Monday, March 15, 2004
Categories: Enforcement ActionsSECURITIES COMMISSIONER TAKES ACTION ON SWEEPSTAKES INVESTMENT SCHEMES
Thursday, March 11, 2004
Preferred Trust and Management, LTD, Mark Dostert - Findings of Fact, Conclusions of Law
Tuesday, March 9, 2004
Categories: Enforcement ActionsPreferred Trust and Management, LTD, Larry Borud - Findings of Fact, Conclusions of Law
Tuesday, March 9, 2004
Categories: Enforcement ActionsPreferred Trust and Management, LTD, Leon Borud - Findings of Fact, Conclusions of Law
Friday, March 5, 2004
Categories: Enforcement ActionsPreferred Trust and Management, LTD, Ron Stafford - Findings of Fact, Conclusions of Law
Friday, March 5, 2004
Categories: Enforcement ActionsPreferred Trust and Management, LTD, Tony Kautt - Findings of Fact, Conclusions of Law
Friday, March 5, 2004
Categories: Enforcement ActionsPreferred Trust and Management, LTD, Todd Haskins - Findings of Fact, Conclusions of Law
Friday, March 5, 2004
Categories: Enforcement ActionsWest East Developments, Inc., Webster Crown - Cease and Desist Order, Notice of Civil Penalty
Thursday, March 4, 2004
Categories: Enforcement ActionsEuroBond Fidelity, Ltd. - Cease and Desist Order, Notice of Civil Penalty
Thursday, March 4, 2004
Categories: Enforcement ActionsD & M Capital, LLC, Associated Financial Services, Inc. - Consent Agreement
Wednesday, March 3, 2004
Categories: Enforcement ActionsPreferred Trust and Management, LTD., Randy Bryans - Consent Order
Wednesday, March 3, 2004
Categories: Enforcement ActionsAmerican Dream Systems, Inc., Coupon Connection of America, Inc. - Consent Order
Tuesday, February 24, 2004
Categories: Enforcement ActionsPreferred Trust and Management, Ltd., Dennis Skarphol - Consent Order
Tuesday, January 27, 2004
Categories: Enforcement ActionsOPERATOR OF NIGERIAN INVESTMENT SCHEME CONVICTED
Wednesday, January 7, 2004
Preferred Trust and Management, LTD, Galen Marsh - Consent Order
Wednesday, December 17, 2003
Categories: Enforcement ActionsPreferred Trust and Management, LTD, Donald Marsch - Consent Order
Wednesday, December 17, 2003
Categories: Enforcement ActionsCGF Securities, LLC, Ross Owen Haugen - Consent Order
Tuesday, December 16, 2003
Categories: Enforcement ActionsPreferred Trust and Management, LTD, Brian Henry - Consent Order
Wednesday, December 3, 2003
Categories: Enforcement ActionsPreferred Trust and Management, LTD, Gerald Henry - Consent Order
Wednesday, December 3, 2003
Categories: Enforcement ActionsCitigroup Global Markets Inc., f/k/a Salomon Smith Barney Inc. - Consent Order
Friday, November 21, 2003
Categories: Enforcement ActionsPreferred Trust and Management, LTD, Mitchell Keiser - Consent Order
Thursday, November 20, 2003
Categories: Enforcement ActionsCraig F. Wollenburg, SPF Energy, Inc. - Consent Order
Thursday, November 20, 2003
Categories: Enforcement ActionsBerthel, Fisher & Company Financial Services, Inc. - Consent Order
Wednesday, November 12, 2003
Categories: Enforcement ActionsMicrovision Systems Corporation, Interactive Acquisition Master, Inc., Camry Consulting Services, Inc., Steve Lehner, Michael Hammerschmidt -
Wednesday, November 12, 2003
Categories: Enforcement ActionsCredit Suisse First Boston LLC, f/k/a Credit Suisse First Boston Corporation - Administrative Consent Order
Thursday, October 30, 2003
Categories: Enforcement ActionsJ. P. Morgan Securities, Inc. - Administrative Consent Order
Tuesday, October 21, 2003
Categories: Enforcement ActionsMorgan Stanley & Co. Incorporated - Administrative Consent Order
Tuesday, October 21, 2003
Categories: Enforcement ActionsU.S. Bancorp Piper Jaffray Inc. - Administrative Consent Order
Monday, October 20, 2003
Categories: Enforcement ActionsPreferred Trust and Management, LTD, Kris & Tana Thorfinnson - Consent Order
Monday, October 20, 2003
Categories: Enforcement ActionsUBS Warburg LLC, UBS PaineWebber Inc. - Administrative Consent Order
Friday, October 10, 2003
Categories: Enforcement ActionsL. H. Ross & Co., Inc., Mintz & Fraade, P.C., Michael Assenza, Kelly Chance, Shannon Norris, Dean Baker - Cease and Desist Order
Wednesday, October 1, 2003
Categories: Enforcement ActionsPossible Technologies, Inc. , A/k/A The Right Reason, Treacy Duerfeld -
Wednesday, October 1, 2003
Categories: Enforcement ActionsLehman Brothers Inc. - Administrative Order
Monday, September 22, 2003
Categories: Enforcement ActionsGrainline.com, Inc., Scott D. Olson, Kent Sortland - Cease and Desist Order
Thursday, September 11, 2003
Categories: Enforcement ActionsSTATE SECURITIES REGULATORS WARN SENIORS TO BE ON THE LOOKOUT FOR INVESTMENT FRAUD
Thursday, September 4, 2003
CGF Securities, LLC - Order for Summary Suspension of the Dealer Registration
Tuesday, September 2, 2003
Categories: Enforcement ActionsPreferred Trust and Management, LTD, Gary L. Bryans - Consent Order
Wednesday, August 27, 2003
Categories: Enforcement ActionsPreferred Trust and Management, LTD, Troy Borud - Consent Order
Monday, July 28, 2003
Categories: Enforcement ActionsEdward D. Jones & Co., L.P., DeAnne Gierke - Consent Order
Friday, July 18, 2003
Categories: Enforcement ActionsPreferred Trust and Management, LTD, Jess Welstad -
Tuesday, July 1, 2003
Categories: Enforcement ActionsAlliance Care, Inc., CGF Securities, LLC, Ross Owen Huagen - Consent Order
Tuesday, July 1, 2003
Categories: Enforcement ActionsKEYNOTE SPEAKERS NAMED FOR INVEST N.D. TEACHER SEMINAR
Tuesday, July 1, 2003
Preferred Trust and Management, LTD, Gerald Haskins - Consent Order
Thursday, June 19, 2003
Categories: Enforcement ActionsPreferred Trust and Management, LTD., Michael Hupka -
Wednesday, June 4, 2003
Categories: Enforcement ActionsPreferred Trust and Management, LTD., Rodney J. Duncklee -
Wednesday, June 4, 2003
Categories: Enforcement ActionsTYLER APPOINTED
Tuesday, June 3, 2003
Preferred Trust and Management, LTD., Marlene Hupka - Consent Order
Tuesday, June 3, 2003
Categories: Enforcement ActionsPreferred Trust and Management, LTD., Richard L. Solberg - Consent Agreement
Sunday, June 1, 2003
Categories: Enforcement ActionsPreferred Trust and Management, LTD., Keith Pierson -
Wednesday, May 28, 2003
Categories: Enforcement ActionsPreferred Trust and Management, LTD., James I Miller, Jr. -
Wednesday, May 28, 2003
Categories: Enforcement ActionsSelect Electronic Devices, Inc., VOIP Communications, Inc., Kent Johanneson a/k/a W. K. Johanneson, David Ludwick - Cease and Desist Order
Wednesday, May 21, 2003
Categories: Enforcement ActionsPOTENTIAL SETTLEMENT DOLLARS FOR NORTH DAKOTA
Tuesday, May 20, 2003
Leafhead Consultants, Inc., Media Info Fund, LTD, Arthur Martiney - Cease and Desist Order
Monday, May 19, 2003
Categories: Enforcement ActionsCamry Investment Services, Inc., Nathanson Investment Trust Account, Colin Nathanson, James Armstrong, Sheila R. Green - Cease and Desist Order
Monday, May 19, 2003
Categories: Enforcement ActionsPreferred Trust and Management, Ltd., Steve Tengesdal - Consent Order
Monday, May 12, 2003
Categories: Enforcement ActionsAmerican Dream Systems, Inc., Coupon Connection of America, Inc. - Desist and Refrain Order
Monday, May 12, 2003
Categories: Enforcement ActionsINVEST NORTH DAKOTA TEACHER SEMINAR SCHEDULED
Wednesday, April 16, 2003
Alliance Care, Inc., CGF Securities, LLC, Ross Owen Haugen - Cease and Desist Order
Tuesday, April 15, 2003
Categories: Enforcement ActionsAPRIL IS SAVING AND INVESTING MONTH IN NORTH DAKOTA
Thursday, March 27, 2003
Golden Eagle Oil, James McDaniel - Cease and Desist Order
Wednesday, March 19, 2003
Categories: Enforcement ActionsSeed International Limited, Ocean International Marketing, Sam Howard, Hakki Kupper - Cease and Desist Order
Wednesday, March 19, 2003
Categories: Enforcement ActionsCapital Growth Real Estate Partners of Miami, LLC, CGF Securities, LLC, Ross Owen Haugen - Consent Order
Wednesday, January 22, 2003
Categories: Enforcement ActionsEPCOM, Ltd., Eldon P. Anderson - Cease and Desist Order
Monday, January 20, 2003
Categories: Enforcement ActionsSTOCK MARKET GAME WINNERS ANNOUNCED
Tuesday, January 14, 2003
American Capital Corporation - Consent Order
Friday, December 6, 2002
Categories: Enforcement ActionsTYLER APPOINTED BY NASAA
Thursday, November 21, 2002
Craig F. Wollenburg, SPF Energy, Inc. - Order to Suspend Agent Registration
Wednesday, November 20, 2002
Categories: Enforcement ActionsU. S. Petroleum, LLC, MEA Services - Cease and Desist Order
Tuesday, November 19, 2002
Categories: Enforcement ActionsFegen & Associates, Legend Mobile f/k/a PTN Media, Inc., Nicholas A. Fegen, Peter C. Klamka - Cease and Desist Order
Friday, November 1, 2002
Categories: Enforcement ActionsHenry Foods, Inc. d/b/a Delimax - Consent Order
Wednesday, October 30, 2002
Categories: Enforcement ActionsAmerican Capital Corporation, Ross O. Haugen - Cease and Desist Order
Thursday, October 3, 2002
Categories: Enforcement ActionsCapital Growth Real Estate Partners of Miami, LLC, Ross O. Haugen, CGF Securities, LLC - Cease and Desist Order
Thursday, October 3, 2002
Categories: Enforcement ActionsMDVIP, Inc., Ross O. Haugen, CGF Securities, LLC - Cease and Desist Order
Thursday, October 3, 2002
Categories: Enforcement ActionsBuck TV.Com, Inc., BuckBuilders.com, Inc., BK.com, Inc., MyFreeBingo.com, Inc., Schematic Cash Transactions Network.com, Inc., American Venture Trust, Larry E. Hunter, Bry Behrmann - Cease and Desist Order
Tuesday, September 10, 2002
Categories: Enforcement ActionsForex Capital Group, LLC, Alaron FX, John Normanton - Cease and Desist Order
Tuesday, September 10, 2002
Categories: Enforcement ActionsTOP TEN INVESTMENT FRAUDS ANNOUNCED
Thursday, September 5, 2002
St. Clare Film Fund Capital Corporation, St. Paul Film Fund, Guadalupe Film Committee, Onesimus Production, Inc., Stephen A. Jones, Debbie Cartier - Cease and Desist Order
Monday, August 26, 2002
Categories: Enforcement ActionsRoss Owen Haugen - Registration Agreement
Wednesday, August 21, 2002
Categories: Enforcement ActionsHenry Foods, Inc. d/b/a DeliMax - Desist and Refrain Order
Wednesday, August 21, 2002
Categories: Enforcement ActionsPreferred Trust and Management, LTD, Eugene Zaderaka - Consent Order
Monday, August 19, 2002
Categories: Enforcement ActionsAmerican Investment Services, Inc. - Proposed Order to Revoke Agent Registration
Friday, June 14, 2002
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Janene Haugen - Order to Vacate Cease and Desist Order
Tuesday, June 11, 2002
Categories: Enforcement ActionsAmerican Investment Services, Inc. - Order to Amend Order for Rescission
Friday, June 7, 2002
Categories: Enforcement ActionsAmerican Investment Services, Inc. - Order for Rescission
Thursday, May 30, 2002
Categories: Enforcement ActionsTelecom Action Entertainment, William Marlin & Co., Marlin, William B., Davis, William, Anthony, Dave - Cease and Desist Order
Thursday, May 23, 2002
Categories: Enforcement ActionsFirst Montauk Securities Corp. - Consent Order
Thursday, March 21, 2002
Categories: Enforcement ActionsUnited Methodist Development Fund - Consent Order
Tuesday, February 26, 2002
Categories: Enforcement ActionsAngel Hung, Once Again Resale for Men & Women, -
Tuesday, February 5, 2002
Categories: Enforcement ActionsHighbury Capital, Inc., Inner Technologies Corp, Howard, Scott N., Hoyt, Jeffrey C., Stogner, Ron - Cease and Desist Order
Wednesday, January 2, 2002
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Soren Sorenson - Order to Vacate Cease and Desist Order
Tuesday, November 27, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., David Martin, Kay Martin -
Tuesday, November 27, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Gene Armstrong, Pat Armstrong - Order to Vacate Cease and Desist Order
Tuesday, November 27, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Kenneth Ryer - Order to Vacate Cease and Desist Order
Tuesday, November 27, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Kyle Wurgler - Order to Vacate Cease and Desist Order
Tuesday, November 27, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Brian Snowden - Order to Vacate Cease and Desist Order
Tuesday, November 27, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Eric Maaske - Order to Vacate Cease and Desist Order
Tuesday, November 27, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Raymond Van Bockel - Order to Vacate Cease and Desist Order
Tuesday, November 27, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Ken Howe - Order to Vacate Cease and Desist Order
Tuesday, November 27, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Mark Couper - Order to Vacate Cease and Desist Order
Tuesday, November 27, 2001
Categories: Enforcement ActionsLearn2Distribution.com, Inc., Sean Correia - Cease and Desist Order
Monday, November 19, 2001
Categories: Enforcement ActionsMarion Bass Securities Corporation - Order to Revoke the Dealer Registration
Wednesday, November 14, 2001
Categories: Enforcement ActionsL. H. Ross & Co., Inc. - Proposed Order to Refuse Dealer Registration
Monday, November 12, 2001
Categories: Enforcement ActionsMarion Bass Securities Corporation - Order for Summary Suspension of the Dealer Registration
Friday, October 5, 2001
Categories: Enforcement ActionsDig-It Underground, Inc. - Consent Order
Wednesday, September 26, 2001
Categories: Enforcement ActionsViper Acquisition, LLC - Consent Order
Wednesday, September 26, 2001
Categories: Enforcement ActionsEffective Sport Nutrition Corporation - Consent Order
Wednesday, September 26, 2001
Categories: Enforcement ActionsRiverside RV Rentals, Inc. - Consent Order
Wednesday, September 26, 2001
Categories: Enforcement ActionsInfinity Mining Venture, Inc., Maxum Investors Group, Gerald Coffman, Jasmer Shokar (Jimmy), Surjit S. Shokar (Steve), Andrew W. Lawrence - Cease and Desist Order
Tuesday, August 28, 2001
Categories: Enforcement ActionsAlberta Diamondfields, Inc., Gerpal S. Shokar , Angel Hung, Once Again Resale for Men & Women, David K. Gramlich, Maxum Investors Group - Cease and Desist Order
Tuesday, August 28, 2001
Categories: Enforcement ActionsValley Honey Company, LLC, Kirschman, Rodney, Anderson, Rodney - Consent Order
Tuesday, August 28, 2001
Categories: Enforcement ActionsAdvanced Technology Feasibility Group, LLC, Bruce W. Anderson , Rodney Anderson - Order to Vacate Cease and Desist Order
Tuesday, August 28, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Ryer, Kenneth - Civil Penalty
Monday, August 6, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Velazques, Tracy - Civil Penalty
Monday, August 6, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., David Martin, Kay Martin - Civil Penalty
Monday, August 6, 2001
Categories: Enforcement ActionsMarion Bass Securities Corporation - Suspension--Proposed Order to Revoke
Sunday, August 5, 2001
Categories: Enforcement ActionsAdvanced Technology Feasibility Group, LLC, Bruce W. Anderson, Rodney Anderson - Cease and Desist Order
Tuesday, July 31, 2001
Categories: Enforcement ActionsValley Honey Company, LLC, Rodney Kirschman, Rodney Anderson - Cease and Desist Order
Tuesday, July 31, 2001
Categories: Enforcement ActionsBrokerageAmerica, Inc. - Cease and Desist Order
Monday, July 23, 2001
Categories: Enforcement ActionsProvision, Inc., Provision, LLC, Randy Templeton, David Betting, Darla Betting - Cease and Desist Order
Thursday, July 12, 2001
Categories: Enforcement ActionsAccord Insurance Co, Ltd., Carr, Graham, Wingham, Leslie, Wharram, Dominic - Consent Order
Friday, June 22, 2001
Categories: Enforcement ActionsK-Ram Industries, Robert Pagan - Desist and Refrain Order
Monday, June 4, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Morey, Michael - Consent Order
Thursday, May 17, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Renfandt, Scott -
Tuesday, May 15, 2001
Categories: Enforcement ActionsBison Capital, Inc., Medhus, Robert, Gugisberg, Peter, Fay, Brad, Larson, Christopher, Klubec, Christine - Agreement
Tuesday, May 15, 2001
Categories: Enforcement ActionsTri-West Investment Club, Wesley Leroy Hiller - Cease and Desist Order
Monday, May 14, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Tri-West Investment Club, Larry Eugene Slaubaugh - Cease and Desist Order
Monday, May 14, 2001
Categories: Enforcement ActionsUS Bancorp Piper Jaffray, Inc., Birmingham, Christopher - Consent Order
Tuesday, May 8, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Schatz, Jackie - Consent Order
Tuesday, May 8, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Elberg, Bev - Consent Order
Tuesday, May 8, 2001
Categories: Enforcement ActionsTrinity Financial Group, LLC - Cease and Desist Order
Tuesday, May 8, 2001
Categories: Enforcement ActionsAccord Insurance Co, Ltd., Graham Carr, Leslie Wingham, Dominic Wharram - Cease and Desist Order
Tuesday, April 24, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Bev Elberg - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Tracy Velazques - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Donald Marsh - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Eugene Zaderaka - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., James I. Miller Jr. - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Keith Pierson - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Leon Borud - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Mark Peterson - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Soren Sorensen - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Tony Kaut - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Dennis Skarphol - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Gene Armstrong, Pat Armstrong - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Jackie Schatz - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Jess Welstad - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Kenneth Ryer - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Kyle Wurgler - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Larry Skiftun - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Mark Dostert - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Mitchell Keiser - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Ron Stafford - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Scott Renfandt - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Brian Snowden - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Todd Haskins - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Troy Borud - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Eric Maaske - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Gary Bryans - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Gerald Henry - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Kris Thorfinnson, Tana Thorfinnson - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Mike Morey - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Raymond Van Bockel - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Rodney J. Duncklee - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Brian Henry - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Steve Tengesdal - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., David Martin, Kay Martin - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Galen Marsh - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Gerald Haskins - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Janene Haugen - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Ken Howe - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Kevin Martin - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Larry Borud - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Mark Couper - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Michael Hupka, Marlene Hupka - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Randy Bryans - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsPreferred Trust & Management, Ltd., Richard L. Solberg - Cease and Desist Order
Tuesday, April 10, 2001
Categories: Enforcement ActionsChase Investments, Ltd., Chase Investments of North America, Al Wilson - Cease and Desist Order
Monday, March 5, 2001
Categories: Enforcement ActionsStar Search 2000, Inc. a/k/a Talent Search 2000, $1,000000 Talent Search, Inc., Shari Nelson - Cease and Desist Order
Tuesday, January 30, 2001
Categories: Enforcement ActionsSchulz, Todd James - Agent Suspension - Proposed Revocation
Tuesday, January 30, 2001
Categories: Enforcement ActionsSchulz, Arnold James a/k/a Jim Schulz - Agent Suspension - Proposed Revocation
Tuesday, January 30, 2001
Categories: Enforcement ActionsGlobal Prosperity Group, The Global Leadership Council, The Institute of Global Prosperity, Dan Andersen, David Struckman, Zo LaMantia - Cease and Desist Order
Thursday, January 25, 2001
Categories: Enforcement ActionsArizona Capital Group, Inc., Pittman, Samuel - Consent Agreement
Thursday, January 25, 2001
Categories: Enforcement ActionsFrederick Wayne Keiser, Jr., Etoile Keiser, Preferred Trust & Management, Ltd., Tactical Investments, Ltd., Nassau Investors Group, Ltd., Concord Investments, Ltd., Ideal Group a/k/a 1M Group, F & E Consulting, LLC - Cease and Desist Order
Tuesday, January 9, 2001
Categories: Enforcement ActionsFrederick W. Keiser, Jr. - Cease and Desist Order
Thursday, January 4, 2001
Categories: Enforcement ActionsSchulz, Arnold James (Jim), Schulz, Todd James - Cease and Desist Order
Wednesday, December 6, 2000
Categories: Enforcement ActionsNew Life Technologies, Inc. - Civil Penalty
Tuesday, November 21, 2000
Categories: Enforcement ActionsUS Bancorp Piper Jaffray, Inc., Christopher Birmingham - Civil Penalty
Thursday, November 9, 2000
Categories: Enforcement ActionsNew England International Surety - Civil Penalty
Monday, November 6, 2000
Categories: Enforcement ActionsGrupo Inverso Rio Del Sol, Paul Enright, Kevin Mark Skow a/ka K. Mark Skow, Ronald Sparkman - Cease and Desist Order
Friday, November 3, 2000
Categories: Enforcement ActionsAdvantage International Marketing a/k/a The Tax People a/k/a Renaissance Designer Gallery Products, Inc., Lee Christianson, Phyllis Christianson, Michael C. Cooper, Kori Koepke, Larry R. Martin, John MacNaught, Roger E. Smith - Cease and Desist Order
Tuesday, October 24, 2000
Categories: Enforcement ActionsJosephthal & Co., Inc., James Gus Oliver -
Thursday, October 19, 2000
Categories: Enforcement ActionsAlbemarle Investments, Limited, New Life Technologies, Inc., UPA, Inc., Mike Bierman, Todd Rooker, Patrick Alan Sanders, Stanley Schulman - Cease and Desist Order
Friday, October 6, 2000
Categories: Enforcement ActionsJoe Aguda, Aguda Financial Services, Inc. - Consent Order
Monday, July 31, 2000
Categories: Enforcement ActionsRagen MacKenzie Investment Services, Inc., Richard Lawrence, Philip Wimer - Consent Order
Friday, July 21, 2000
Categories: Enforcement ActionsPhoenix Telecom, L.L.C., Trinity Financial Group -
Tuesday, July 11, 2000
Categories: Enforcement ActionsPrivate Gifting, Sharing Equally, For Kids, Inc., Randy Bertsch, Betty Holzer, Daniel Reimche, Betty Wahl, Carl Lamm, Raymond Kotchian, Robin Stene, Kristy Keller, Gered Keller - Cease and Desist Order
Tuesday, July 11, 2000
Categories: Enforcement ActionsBaxter, Banks & Smith, Ltd., Francis M. McDermott - Consent Order
Friday, June 16, 2000
Categories: Enforcement ActionsThe Bobwhite Company, Bob White - Cease and Desist Order
Thursday, May 25, 2000
Categories: Enforcement ActionsTorrey Pines Securities, Inc., Harvey G. Leason A/K/A Glen Leason - Consent Order
Wednesday, May 24, 2000
Categories: Enforcement ActionsJoe Aguda, Aguda Financial Services, Inc. - Civil Penalty
Wednesday, April 26, 2000
Categories: Enforcement ActionsElmer Reiner, Swift Advisory & Consulting, Inc., The Institute of Learning a/k/a The Institute of Learning and Biblical Studies - Cease and Desist Order
Wednesday, April 26, 2000
Categories: Enforcement ActionsEmily Water & Beverage Co., Inc. - Civil Penalty
Wednesday, April 26, 2000
Categories: Enforcement ActionsRick Wallace, Private Assets.com - Cease and Desist Order
Tuesday, April 25, 2000
Categories: Enforcement ActionsPhoenix Telecom, LLC, Trinity Financial Group - Cease and Desist Order
Friday, March 31, 2000
Categories: Enforcement ActionsLinsco Private Ledger Corp. - Consent Agreement
Friday, March 31, 2000
Categories: Enforcement ActionsPeregrine Financials & Securities, Inc., Patrick Steven Jage - Consent Order
Friday, March 3, 2000
Categories: Enforcement ActionsJosephthal & Co., Inc., James Gus Oliver - Cease and Desist Order
Friday, March 3, 2000
Categories: Enforcement ActionsEducate America Resource Network, Financial Planning Consultants, Gary E. Luckow, Scott W. Grant - Cease and Desist Order
Wednesday, March 1, 2000
Categories: Enforcement ActionsEmily Water & Beverage Co., Inc. - Desist and Refrain Order
Monday, February 28, 2000
Categories: Enforcement ActionsCharles Schwab & Co., Inc. - Consent Agreement
Monday, February 28, 2000
Categories: Enforcement ActionsCopeland Equities, Inc. - Consent Agreement
Monday, February 28, 2000
Categories: Enforcement ActionsCraig Brown, New England International Surety, Inc., Joe Aguda, Aguda Financial Services, Inc., - Cease and Desist Order
Wednesday, February 16, 2000
Categories: Enforcement ActionsBaxter, Banks & Smith, Mikhail S. Shklovsky, Oleg A. Feldman, Francis McDermott, Maurizio V. Grammatica, Kevin J. Ruggiero, John Does 1-3 - Civil Penalty
Tuesday, December 21, 1999
Categories: Enforcement ActionsESI, Rogers, Ralph W., III - Cease and Desist Order
Friday, December 10, 1999
Categories: Enforcement ActionsFriends N Freedom, Hansen, Scott, Hansen, Becky - Cease and Desist Order
Monday, November 29, 1999
Categories: Enforcement ActionsFriends N Freedom, LaVerne Zenker, Kay Zenker - Default Order
Monday, November 29, 1999
Categories: Enforcement ActionsFriends N Freedom, Davis, Ruth - Cease and Desist Order
Monday, November 29, 1999
Categories: Enforcement ActionsFriends N Freedom, Kirschman, Rodney, Kirschman, Judy - Cease and Desist Order
Monday, November 29, 1999
Categories: Enforcement ActionsFriends N Freedom, Davis, Norma - Cease and Desist Order
Monday, November 29, 1999
Categories: Enforcement ActionsFriends N Freedom, Hansen, Vernon, Hansen, Darlene - Cease and Desist Order
Monday, November 29, 1999
Categories: Enforcement ActionsBaxter, Banks & Smith, Mikhail S. Shklovsky, Oleg A. Feldman, Francis A. McDermott, Maurizio V. Grammatica, Kevin J. Ruggiero, John Does 1-3 - Administrative Complaint
Monday, November 1, 1999
Categories: Enforcement ActionsAttain Direct, Inc. f/k/a All-Tech Investment Group, Inc. - Proposed Order to Refuse Dealer Registration
Tuesday, October 19, 1999
Categories: Enforcement ActionsFordham Financial Management, Inc. - Denial of Application
Tuesday, October 19, 1999
Categories: Enforcement ActionsFriends N Freedom, LaVerne Zenker, Kay Zenker - Subpoena Duces Tecum
Friday, September 3, 1999
Categories: Enforcement ActionsFriends N Freedom, Zenker, LaVerne, Zenker, Kay - Cease and Desist Order
Friday, September 3, 1999
Categories: Enforcement ActionsBisys Brokerage Services, Inc. - Consent Order
Tuesday, August 24, 1999
Categories: Enforcement ActionsAlliance Trust, Clifton Wilkinson - Civil Penalty
Tuesday, August 24, 1999
Categories: Enforcement ActionsBaxter, Banks & Smith, Shklovsky, Michael, Feldman, Alec - Cease and Desist Order
Monday, August 16, 1999
Categories: Enforcement ActionsAlliance Trust, Integrowth Financial Group, Clifton Wilkinson, Steve Hiltbrand - Cease and Desist Order
Friday, July 23, 1999
Categories: Enforcement ActionsFordham Financial Management, Inc., Frank Patrick Marchione - Proposed Order to Refuse Dealer Registration
Thursday, July 22, 1999
Categories: Enforcement ActionsPopular Link, Jeff Cheng - Cease and Desist Order
Thursday, July 22, 1999
Categories: Enforcement ActionsSantoro's Gourmet Foods, Inc. - Civil Penalty
Wednesday, July 7, 1999
Categories: Enforcement ActionsDebt Management Club, Fair Tax, Renesa Leeds - Cease and Desist Order
Wednesday, July 7, 1999
Categories: Enforcement ActionsBurt Bjur, New World International, a citizens group, Charles E. Thompson - Default Order
Wednesday, July 7, 1999
Categories: Enforcement ActionsAlliance Trust, Clifton Wilkinson - Cease and Desist Order
Monday, June 28, 1999
Categories: Enforcement ActionsAgkota Holdings, Inc., International Joint Ventures Association, Preferred Home Loans, Founders Club, Inc., Verlin Swartzendruber, Terry Nitschke, Duane Moos, Norman Nitschke, William Ebele - Consent Order
Monday, June 28, 1999
Categories: Enforcement ActionsVerlin Swartzendurber - Notice of Default, Default Order
Monday, June 28, 1999
Categories: Enforcement ActionsNori, Hennion, Walsh, Inc., Jonathan N. Ponte - Consent Order
Friday, May 28, 1999
Categories: Enforcement ActionsAgkota Holdings, Inc., International Joint Ventures Association, Preferred Home Loans, Founder's Club, Inc., Verlin Swartzendruber, Terry Nitschke, Duane Moos, Norman Nitschke, William Ebele - Consent Order
Friday, May 28, 1999
Categories: Enforcement ActionsAMS Financial Corporation, Allen Halstead - Cease and Desist Order
Monday, May 10, 1999
Categories: Enforcement ActionsAMS Financial Corp., Allen Halstead - Subpoena Duces Tecum
Monday, May 10, 1999
Categories: Enforcement ActionsEquity Securities Investments, Inc. - Consent Order
Thursday, April 29, 1999
Categories: Enforcement ActionsInternet Casino Sports Gaming - Civil Penalty
Monday, April 26, 1999
Categories: Enforcement ActionsThe Station Corporation, Wayne Southam, Tonya Southam - Cease and Desist Order
Monday, April 26, 1999
Categories: Enforcement ActionsFirst Fidelity Financial Corporation - Civil Penalty
Friday, April 16, 1999
Categories: Enforcement ActionsCalifornia Laser Company - Cease and Desist Order
Wednesday, March 31, 1999
Categories: Enforcement ActionsSantoro's Gourmet Foods, Inc., William G. Santoro - Cease and Desist Order
Monday, March 29, 1999
Categories: Enforcement ActionsFirst Fidelity Financial Corporation, Newport Financial Corporation, Exchange.Online, Inc., Bruce M. Follick - Cease and Desist Order
Monday, March 22, 1999
Categories: Enforcement ActionsFirst Financial Equity Corporation - Registration Agreement
Thursday, March 18, 1999
Categories: Enforcement ActionsMicrovision Systems Corporation, Interactive Acquisition Master, Inc., Camry Consulting Services, Inc., Millennium Networks, Inc., Steve Lehner, Michael Hammerschmidt - Cease and Desist Order
Wednesday, March 17, 1999
Categories: Enforcement ActionsLow Priced Stock Wealth - Notice of Civil Penalty
Monday, March 8, 1999
Categories: Enforcement ActionsKaizen International Consulting Corporation - Civil Penalty
Thursday, March 4, 1999
Categories: Enforcement ActionsRed River Dispatch, Inc., Billy Johnson - Cease and Desist Order
Monday, March 1, 1999
Categories: Enforcement ActionsAmerican Investment Services, Inc., David R. Bjork - Consent Order
Friday, February 26, 1999
Categories: Enforcement ActionsMagnum Petroleum, Inc. - Notice of Civil Penalty
Wednesday, January 20, 1999
Categories: Enforcement ActionsPublic Communication Services, Inc. - Civil Penalty
Wednesday, January 20, 1999
Categories: Enforcement ActionsLow Priced Stock Wealth, David Johnson - Cease and Desist Order
Wednesday, January 20, 1999
Categories: Enforcement ActionsNew World International, a citizens group, Charles E. Thompson - Cease and Desist Order
Wednesday, January 20, 1999
Categories: Enforcement ActionsPapa Holdings, Inc., The Ponzu Companies, Inc., Jonathan C. Papa, Ramon C. Papa III, Thomas L. Anderson, David M. Beneake, Kourosh Saroole, David J. Naughton - Consent Order
Monday, January 18, 1999
Categories: Enforcement ActionsPentad Securities, Inc., Warren B. True - Consent Order
Monday, January 4, 1999
Categories: Enforcement ActionsMichael Lee Mathis - Notice of Civil Penalty
Wednesday, December 30, 1998
Categories: Enforcement ActionsJoseph K. Hilyard - Notice of Civil Penalty
Wednesday, December 30, 1998
Categories: Enforcement ActionsBuckhorn Financial Services, Inc - Notice of Civil Penalty
Wednesday, December 30, 1998
Categories: Enforcement ActionsSafe Keeping, Inc. - Notice of Civil Penalty
Wednesday, December 30, 1998
Categories: Enforcement ActionsCreative Capital Management Corporation - Consent Order
Monday, December 28, 1998
Categories: Enforcement ActionsMcDowell International, Incorporated of Washington, McDowell Industries, Northern Plains Agriculture, Incorporated, Agsources, Incorporated, Matthew McDowell - Cease and Desist Order
Tuesday, December 22, 1998
Categories: Enforcement ActionsState Farm VP Management Corp. - Consent Order
Tuesday, December 8, 1998
Categories: Enforcement ActionsCommonwealth Capital Group, Inc., Octet Communications Corp., Albert Faivush - Consent Order
Friday, December 4, 1998
Categories: Enforcement ActionsArgent Securities, Inc. - Proposed Order to Refuse Dealer Registration
Monday, November 2, 1998
Categories: Enforcement ActionsPublic Communications Services, Inc., Lon Finkelstein, Sharon Malkin - Cease and Desist Order
Wednesday, September 23, 1998
Categories: Enforcement ActionsWash n Shine Inc., Venture Funding Group Inc., Thomas R. Meinders - Cease and Desist Order
Monday, August 24, 1998
Categories: Enforcement ActionsFuture Tech Developments, Inc., Venture Funding Group, Inc., Thomas R. Meinders - Cease and Desist Order
Monday, August 24, 1998
Categories: Enforcement ActionsVenture Funding Group, Inc., Thomas R. Meinders - Cease and Desist Order
Monday, August 24, 1998
Categories: Enforcement ActionsUpward Industries, Inc., Venture Funding Group, Inc., Thomas R. Meinders - Cease and Desist Order
Monday, August 24, 1998
Categories: Enforcement ActionsTri State Innkeepers, Inc., Venture Funding Group, Inc., Thomas R. Meinders - Cease and Desist Order
Monday, August 24, 1998
Categories: Enforcement ActionsMeternet Corporation, Venture Funding Group, Inc., Thomas R. Meinders - Cease and Desist Order
Monday, August 24, 1998
Categories: Enforcement ActionsCapital Management International, Ltd., Ronald Ratoff - Cease and Desist Order
Friday, July 24, 1998
Categories: Enforcement ActionsAmerican Investment Services, Inc., David R. Bjork - Notice of Civil Penalty
Thursday, July 23, 1998
Categories: Enforcement ActionsPapa Holdings, Inc., The Ponzu Companies, Inc., Jonathan C. Papa, Ramon C. Papa III, Thomas L. Anderson, David M. Beneakem, Kourosh Saroole, David J. Naughton - Cease and Desist Order
Thursday, July 23, 1998
Categories: Enforcement ActionsBuckhorn Financial Services, Inc., SafeKeeping, Inc. - Cease and Desist Order
Wednesday, July 1, 1998
Categories: Enforcement ActionsForeign Currency International - Cease and Desist Order
Friday, June 26, 1998
Categories: Enforcement ActionsThe Piddler International Downline Building Co-op, The Sharing Funds Foundation, Eugene Henley - Cease and Desist Order
Tuesday, June 23, 1998
Categories: Enforcement ActionsInternet Casino Sports Gaming, LLC, Denis M. Benson - Cease and Desist Order
Monday, June 8, 1998
Categories: Enforcement ActionsHJB, Inc., Dakota Utilities, Inc., Gerold Busche, Craig Dallman, Ron Thompson, Lee Schobinger, Shirley Prigge, Loraine Zuber - Cease and Desist Order
Thursday, May 7, 1998
Categories: Enforcement ActionsAgKota Holdings, Inc., International Joint Ventures Association, Preferred Home Loans, Founder's Club, Inc., Verlin Swartzendruber, Terry Nitschke, Duane Moos, Norm Nitschke, William Ebele - Cease and Desist Order
Wednesday, April 22, 1998
Categories: Enforcement ActionsGlobal Prosperity Group, The Global Leadership Council, Larry Gabel, John Hoffman, B. J. Bishop - Cease and Desist Order
Monday, April 20, 1998
Categories: Enforcement ActionsGlobal Prosperity Group, Global Leadership Council, Paul Whealy - Cease and Desist Order
Friday, April 17, 1998
Categories: Enforcement ActionsThe Gold Lead Pool , A-Z Systems, Alexei Zoubov, Julie Frahm, Richard Frahm - Cease and Desist Order
Tuesday, April 7, 1998
Categories: Enforcement ActionsGlobal Prosperity Group, Global Leadership Council, Dave Lozier, Cindy Lozier, Elizabeth Riley, Dael A. Chapman, Shoshanna Szuch, Jeff Eichinger, Ione Weatherby - Cease and Desist Order
Friday, April 3, 1998
Categories: Enforcement ActionsFor Champions Only, The Winner's Circle, Tom Kincaid - Cease and Desist Order
Tuesday, March 24, 1998
Categories: Enforcement ActionsThe Piddler International Downline Building Co-Op, The Sharing Funds Foundation, Eugene Henley, Frank Molonar, Ronald Readling - Cease and Desist Order
Wednesday, March 11, 1998
Categories: Enforcement ActionsProsper International League, Ltd., Prosper International, Ltd., Universal Marketing, Charles Miller - Cease and Desist Order
Friday, February 13, 1998
Categories: Enforcement ActionsMagnum Petroleum, Jerry Nichter - Cease and Desist Order
Tuesday, February 3, 1998
Categories: Enforcement ActionsTradeway Securities Group, Inc. - Consent Order
Wednesday, January 28, 1998
Categories: Enforcement ActionsTemper of the Times Communications, Inc. - Consent Order
Tuesday, December 9, 1997
Categories: Enforcement ActionsHarvey Senn, Lutheran Brotherhood Securities Corporation -
Friday, November 7, 1997
Categories: Enforcement ActionsInternational Benevolence Fund Trust, Frank R. Johnson - Cease and Desist Order
Wednesday, October 15, 1997
Categories: Enforcement ActionsECAP Financial Investment Banking, Inner Systems Industries, Inc., Marie Fortune, William Mueger - Cease and Desist Order
Friday, October 10, 1997
Categories: Enforcement ActionsCentex Securities, Inc. f/k/a La Jolla Securities Corporation, Bruce A. Biddick - Consent Order
Monday, October 6, 1997
Categories: Enforcement ActionsArrow Environmental Remediation Operations, Hank M. Kendrick - Cease and Desist Order
Monday, September 22, 1997
Categories: Enforcement ActionsThe Infinity Group Company, Geoff Benson - Cease and Desist Order
Friday, August 15, 1997
Categories: Enforcement ActionsMichael C. Parke, Michael C. Parke Management Services, Inc. - Findings of Fact, Conclusions of Law
Friday, July 25, 1997
Categories: Enforcement ActionsInvestment Management and Research, Inc., David Rothchild - Consent Order
Monday, July 21, 1997
Categories: Enforcement ActionsEleventh Hour, Inc., American Consolidated Growth Corporation, Norman L. Fisher, Gary Flater - Consent Order
Monday, July 21, 1997
Categories: Enforcement ActionsCentex Securities, Inc. f/k/a La Jolla Securities Corporation, Bruce A. Biddick - Order
Friday, May 16, 1997
Categories: Enforcement ActionsFinancial Advantage Brokerage Services, Inc., Bradley Wells, Bruce Hager - Consent Order
Thursday, April 17, 1997
Categories: Enforcement ActionsProsperity Unlimited Trust, Annette Cain - Cease and Desist Order
Monday, March 31, 1997
Categories: Enforcement ActionsLa Jolla Securities Corporation, Daniel Wood - Consent Order
Tuesday, March 18, 1997
Categories: Enforcement ActionsFinancial Advantage Brokerage Services, Inc., AISCO Holdings, Ltd. - Revocation of Exemption
Friday, March 7, 1997
Categories: Enforcement ActionsUSA Financial News, James Bartel - Consent Order
Monday, February 24, 1997
Categories: Enforcement ActionsEleventh Hour, Inc., American Consolidated Growth Corporation, Norman L. Fisher, Valerie Fisher, Gary Flater, Cory Copage -
Friday, February 7, 1997
Categories: Enforcement ActionsFact Gold Technologies Canada, Ltd., Gig International Resources, Inc., Richard Furrer, Ward Hughes, Phil Wilford, Steve Chan - Cease and Desist Order
Tuesday, January 21, 1997
Categories: Enforcement ActionsFurniture Medic Limited Partnership, Kevin Schmitcke -
Tuesday, January 14, 1997
Categories: Enforcement ActionsPrince Dr. Augustine Ayuba - Cease and Desist Order
Thursday, January 9, 1997
Categories: Enforcement ActionsInformation Processing Office - Order to Amend Cease and Desist
Tuesday, December 31, 1996
Categories: Enforcement ActionsKidztime TV, Dennis Johnson, Capital Funding and Financial Group, Inc. - Cease and Desist Order
Wednesday, December 18, 1996
Categories: Enforcement ActionsBob Ivensen, Sunward Club - Cease and Desist Order
Monday, December 9, 1996
Categories: Enforcement ActionsCelebrity Foods, Inc., Tri-Bradley Investments - Cease and Desist Order
Friday, November 29, 1996
Categories: Enforcement ActionsRaoul Brandt, Royal Crown Corporation, American Investment Services, Inc., Brandt Brokerage House - Cease and Desist Order
Friday, November 15, 1996
Categories: Enforcement ActionsDonald O. Atuegbu, Nigerian National Petroleum Corporation - Cease and Desist Order
Monday, October 21, 1996
Categories: Enforcement ActionsNigerian National Petroleum Corporation, Central Bank of Nigeria, Alhaji D. Bayero - Cease and Desist Order
Monday, September 30, 1996
Categories: Enforcement ActionsFACT Companies, Richard Furrer, Janelle Furrer, Ward Hughes, Joseph M. Malloy, James Herbst, Darreld Kartes - Cease and Desist Order
Tuesday, September 24, 1996
Categories: Enforcement ActionsInformation Processing Office - Cease and Desist Order
Wednesday, September 4, 1996
Categories: Enforcement ActionsMurchison Investment Bankers, Inc., Burll Dean Murchison, Richard Alan Murchison, James Roland Arnold, Lee Edward Burton -
Friday, June 14, 1996
Categories: Enforcement ActionsJoseph F. Desanto, Joseph Roberts & Co., Inc. - Revocation Order
Sunday, June 9, 1996
Categories: Enforcement ActionsA.G. Edwards & Sons, Inc., Cameron Erickson, Unitech Industries, Inc. - Order for Hearing
Saturday, June 8, 1996
Categories: Enforcement ActionsGary Swernik, Dana Bersch a/k/a Frank Bersch, Boulder, Inc. d/b/a Yu-Chu's, Ed Foo Yung's Inc. a/k/a Ed Foo Yung's Ltd. - Order for Hearing
Friday, May 31, 1996
Categories: Enforcement ActionsGary Swernik, Dana Bersch a/k/a Frank Bersch, Boulder, Inc. d/b/a Yu-Chu's, Ed Foo Yung's Inc. a/k/a Ed Foo Yung's Ltd. - Notice of Right to Request Hearing
Friday, May 31, 1996
Categories: Enforcement ActionsPremier Capital Investment, J.R. Munoz, Information Network Technology Partners III, Strategic Investor, Steven Harrell - Cease and Desist Order
Wednesday, May 15, 1996
Categories: Enforcement ActionsThe Ellis Group, Frank Ellis, CEO - Cease and Desist Order
Monday, May 13, 1996
Categories: Enforcement ActionsDent Busters, Inc., Bill Tyson - Cease and Desist Order
Monday, May 13, 1996
Categories: Enforcement ActionsU. S. Wireless, Mark Silberman, Harry Kaiser, Sheldon Ziskind - Order to Cancel Hearing
Friday, May 10, 1996
Categories: Enforcement ActionsU. S. Wireless, Mark Silberman, Harry Kaiser, Sheldon Ziskind - Consent Order
Thursday, May 9, 1996
Categories: Enforcement ActionsMerrill Lynch, John D. McCroskey - Order for Hearing
Monday, May 6, 1996
Categories: Enforcement ActionsMerrill Lynch, John D. McCroskey - Notice of Right to Request Hearing
Monday, May 6, 1996
Categories: Enforcement ActionsCentral Bank of Nigeria, Dr. O. Chimezie - Cease and Desist Order
Tuesday, April 30, 1996
Categories: Enforcement ActionsZ3 Capital Holding Corporation, Stella Bella Corporation USA, Jack Broberg, Mark Scialdone, Becky Pepper, Steven Zubkis, Marcus O'Neal - Cease and Desist Order
Wednesday, April 24, 1996
Categories: Enforcement ActionsEngineer Sunday Bari Saro Wiwa - Cease and Desist Order
Thursday, April 18, 1996
Categories: Enforcement ActionsTrans-American Ostrich Traders, Inc. - Cease and Desist Order
Monday, April 15, 1996
Categories: Enforcement ActionsEleventh Hour, Inc., American Consolidated Growth Corporation - Order for Hearing
Friday, April 12, 1996
Categories: Enforcement ActionsNorfolk Securities Corp. - Proposed Order to Refuse Agent Registration
Friday, April 12, 1996
Categories: Enforcement ActionsEleventh Hour, Inc., American Consolidated Growth Corporation - Cease and Desist Order
Friday, April 12, 1996
Categories: Enforcement ActionsRecomm International Display, Atel Business Credit, Finova Capital Corporation - Cease and Desist Order
Friday, April 12, 1996
Categories: Enforcement ActionsMurchison Investment Bankers, Inc., Burll Dean Murchison, Richard Alan Murchison, James Roland Arnold, Lee Edward Burton - Cease and Desist Order
Thursday, March 28, 1996
Categories: Enforcement ActionsGruntal & Co., Inc., Robert Goldstein - Order for Hearing
Thursday, March 21, 1996
Categories: Enforcement ActionsThe Oxford Club, James Boxley Cooke - Cease and Desist Order
Monday, March 18, 1996
Categories: Enforcement ActionsMelvin C. Klindt, Berean Non-Profit Corporation - Consent Order
Tuesday, June 6, 1995
Categories: Enforcement ActionsThe Principality of Hutt River Province - Cease and Desist Order
Monday, May 8, 1995
Categories: Enforcement ActionsCharleston Interactive Television Partners, Digital Interactive Associates, Inc., Carlo Anneke, an individual, Vikki Lucas, an individual - Cease and Desist Order
Tuesday, April 4, 1995
Categories: Enforcement ActionsGroup Dynamics Downline - Cease and Desist Order
Wednesday, March 15, 1995
Categories: Enforcement ActionsGold Unlimited, Inc., David Crowe, an individual, Martha Crowe, an individual - Cease and Desist Order
Friday, February 3, 1995
Categories: Enforcement ActionsNation Wide Wireless Corporation a/k/a NationWide Wireless Corporation, Philip Caratozzolo, Greater Columbia Basin Wireless Cable, LLC - Cease and Desist Order
Thursday, January 26, 1995
Categories: Enforcement ActionsAlhaji Jubril Umar - Cease and Desist Order
Tuesday, January 3, 1995
Categories: Enforcement ActionsQuarter Call, Inc., Glenn Kendall, Tom C. Yost, Robert J. DiToro, Robert P. Carrigan, Dan S. Webb, J.R. Munoz, Premier Capital Investments - Cease and Desist Order
Thursday, October 27, 1994
Categories: Enforcement ActionsMetropolitan Mortgage & Securities Co., Inc. - Suspension Order
Monday, March 28, 1994
Categories: Enforcement ActionsFirst National Services, Marc A. Rona - Order for Hearing
Tuesday, February 22, 1994
Categories: Enforcement ActionsToluca Pacific Securities Corp. - Order for Hearing
Wednesday, February 16, 1994
Categories: Enforcement ActionsMid Valley Broadcasting, Inc., Charles Skip Rutledge, Jack Brush - Pre-Hearing Order
Monday, February 14, 1994
Categories: Enforcement ActionsBecki Anderson Warren, James W. Warren, Lawrence W. Warren -
Monday, February 14, 1994
Categories: Enforcement ActionsBecki Anderson Warren, James W. Warren, Lawrence W. Warren - Notice of Right to Request Hearing
Thursday, February 10, 1994
Categories: Enforcement ActionsOfferman & Company, Inc., The Offerman Group, Inc. - Notice of Right to Request Hearing
Thursday, February 10, 1994
Categories: Enforcement ActionsFirst National Services - Cease and Desist Order
Wednesday, February 2, 1994
Categories: Enforcement ActionsBecki Anderson Warren, James W. Warren, Lawrence W. Warren - Order for Hearing
Tuesday, February 1, 1994
Categories: Enforcement ActionsImage Financial Network, Ltd., Joel Freezon - Cease and Desist Order
Tuesday, January 25, 1994
Categories: Enforcement ActionsMarathon Financial Program a/k/a Marathon Marketing, Jim Phipps, Randy Fraley, Gerald G. McCarthy - Cease and Desist Order
Wednesday, December 29, 1993
Categories: Enforcement ActionsReading Wireless Cable - Cease and Desist Order
Monday, December 27, 1993
Categories: Enforcement ActionsTelecom/Mobile Wireless Cable - Cease and Desist Order
Monday, December 27, 1993
Categories: Enforcement ActionsNortheast Telecom, Inc., 3rd Mobile of Central New York - Cease and Desist Order
Friday, December 10, 1993
Categories: Enforcement ActionsTransAmerica Wireless Systems, Inc., TransAmerica Wireless Associates, Rod Weaver - Cease and Desist Order
Friday, December 10, 1993
Categories: Enforcement ActionsKingswood Associates, Inc., Mortek Corporation, Robert Button, Berry Mitchell - Cease and Desist Order
Friday, October 29, 1993
Categories: Enforcement ActionsContinental Wireless Cable Television Inc. - Cease and Desist Order
Friday, October 22, 1993
Categories: Enforcement ActionsJohn Sebastian Ragazzo, Geneva Companies - Cease and Desist Order
Wednesday, October 20, 1993
Categories: Enforcement ActionsRichard F. Pinnow, Liberty International Networking Company - Cease and Desist Order
Monday, October 4, 1993
Categories: Enforcement ActionsKenneth Finochiaro d/b/a Pre-cooked Pasta Company - Cease and Desist Order
Thursday, September 23, 1993
Categories: Enforcement ActionsTheodore N. Youngquist d/b/a Youngquist Mine Development & Consultation, Inc., Wind River Mining Project II - Cease and Desist Order
Wednesday, September 22, 1993
Categories: Enforcement ActionsUnited Communications Ltd., a Texas Limited Liability Company, Al J. Gauert - Cease and Desist Order
Monday, September 13, 1993
Categories: Enforcement ActionsBetty Aleshire, Great Western Communications, Int'l - Cease and Desist Order
Thursday, September 9, 1993
Categories: Enforcement ActionsSmart Industries, Inc., Life Crystals, Inc., Elliot Pierce - Cease and Desist Order
Tuesday, July 6, 1993
Categories: Enforcement ActionsKiowa Resources Inc., Robert Charles - Cease and Desist Order
Wednesday, May 19, 1993
Categories: Enforcement ActionsHealth Excellence, T. C. Fry - Cease and Desist Order
Monday, March 15, 1993
Categories: Enforcement ActionsBanner Fund International, Swiss Trade & Commerce Trust - Cease and Desist Order
Thursday, March 4, 1993
Categories: Enforcement ActionsCharles Edward Marean, Junior - Cease and Desist Order
Tuesday, May 19, 1992
Categories: Enforcement ActionsExpress Communications, Inc., Reliable Cellular Consultants - Cease and Desist Order
Tuesday, April 14, 1992
Categories: Enforcement ActionsWorldwide Treasure Bureau, Samuel E. Cox - Cease and Desist Order
Tuesday, April 14, 1992
Categories: Enforcement Actions1st Equity International, Richard Gould - Cease and Desist Order
Tuesday, April 14, 1992
Categories: Enforcement ActionsTrans-Global Trading Incorporated, Robert Bowin, Peter Greenwood - Cease and Desist Order
Wednesday, December 4, 1991
Categories: Enforcement ActionsReach Exploration, Inc., Warren Wellborn, Paul Webb, David Dolph - Cease and Desist Order
Wednesday, November 20, 1991
Categories: Enforcement ActionsEquity Estates Galleries, Inc., Alex Pierce - Cease and Desist Order
Wednesday, November 20, 1991
Categories: Enforcement ActionsMontague-Weston Associates Limited, Wayne Ford, J. Petersen - Cease and Desist Order
Friday, November 15, 1991
Categories: Enforcement ActionsProductions Plus, Priscilla J. Deters, Charles Chuck Crosby - Cease and Desist Order
Friday, November 1, 1991
Categories: Enforcement ActionsParagon International Communications, Inc., Buzz Gossage, C. B. Miller - Cease and Desist Order
Thursday, October 10, 1991
Categories: Enforcement ActionsCanOdi International, Inc., Donald S. Dalman - Cease and Desist Order
Monday, September 23, 1991
Categories: Enforcement ActionsFinancial Services Network, Paul Navestad - Cease and Desist Order
Friday, September 13, 1991
Categories: Enforcement ActionsRegency Collectibles, Inc., Bob Johnson, Jack Tischer - Cease and Desist Order
Friday, August 30, 1991
Categories: Enforcement ActionsInternational Exchange Board, Gene Young, Michael Simon - Cease and Desist Order
Friday, August 30, 1991
Categories: Enforcement ActionsImperial World Trade Exchange, Ryan Blake - Cease and Desist Order
Friday, August 30, 1991
Categories: Enforcement ActionsEast-West Marketing, Inc., Vicki Capri, Arnold Winter, Thurston McKenzie - Cease and Desist Order
Friday, August 30, 1991
Categories: Enforcement ActionsRatheal Companies, Rodney Ratheal, Stephen Mitchell - Cease and Desist Order
Wednesday, June 19, 1991
Categories: Enforcement ActionsRatheal Companies, Rodney Ratheal, Stephen Mitchell -
Friday, June 14, 1991
Categories: Enforcement ActionsMortgage Service Associates - Cease and Desist Order
Thursday, June 6, 1991
Categories: Enforcement ActionsRMC Enterprises, Ralph G. McCoy - Cease and Desist Order
Thursday, May 16, 1991
Categories: Enforcement ActionsThe Connoisseur of California - Cease and Desist Order
Thursday, January 10, 1991
Categories: Enforcement ActionsOPC and Associates - Cease and Desist Order
Wednesday, January 9, 1991
Categories: Enforcement ActionsFAX-9, Rene Boutin - Cease and Desist Order
Monday, November 26, 1990
Categories: Enforcement ActionsMCM Marketing, Inc., McElton Skaggs, Connie Mac Skaggs, Wayne Stone - Cease and Desist Order
Friday, November 9, 1990
Categories: Enforcement ActionsDonex Resources, Inc., Jerry Woods, Ken Poindexter, Douglas Brown - Cease and Desist Order
Thursday, October 18, 1990
Categories: Enforcement ActionsLABCO/ARBCO Electronics Inc., Robert Widner, Byrd Widner, Edward Widner, Gary Amos - Cease and Desist Order
Friday, September 21, 1990
Categories: Enforcement ActionsR. B. Marich & Co. Inc., Rudy Marich, Betty Jane Marich, Irving Hale, Robert L. Long -
Thursday, September 20, 1990
Categories: Enforcement ActionsR. B. Marich & Co. Inc., Rudy Marich, Betty Jane Marich, Irving Hale, Robert L. Long - Cease and Desist Order
Wednesday, September 12, 1990
Categories: Enforcement ActionsScorac, Incorporated DBA Verifiable Resources, Claud Lavender, J. Wayne Greer, James Fulkerson, Sam Furo - Cease and Desist Order
Tuesday, June 12, 1990
Categories: Enforcement ActionsJ. T. Moran & Co., Inc., Nicholas Mariniello, Peter Edward Bulger - Cease and Desist Order
Monday, April 30, 1990
Categories: Enforcement ActionsEFJ Funds, Emanuel Fettig - Cease and Desist Order
Friday, April 20, 1990
Categories: Enforcement ActionsVilla Petroleum Inc., Mack W. Knight III, Don Tatum, James L. Watts, C. W. Weaver - Cease and Desist Order
Sunday, April 1, 1990
Categories: Enforcement ActionsIndependent Financial, Eric Guichet, Gary Lowenthal - Cease and Desist Order
Wednesday, March 28, 1990
Categories: Enforcement ActionsWestern Trading Group LTD, Sam Lessard, Richard Lindner, Mark Alexander - Cease and Desist Order
Wednesday, March 28, 1990
Categories: Enforcement ActionsCarl's Furniture Barn, Carl H. Weisser - Cease and Desist Order
Friday, March 23, 1990
Categories: Enforcement ActionsAmerican Gold Eagle, Inc., James H. Ridinger, - Cease and Desist Order
Monday, March 19, 1990
Categories: Enforcement ActionsThe Right Combination, Inc., Jim Silkwood, - Cease and Desist Order
Monday, March 19, 1990
Categories: Enforcement ActionsAmerican Gold Eagle, Inc., James H. Ridinger - Cease and Desist Order
Monday, March 19, 1990
Categories: Enforcement ActionsThe Right Combination, Inc., Jim Silkwood - Cease and Desist Order
Thursday, March 1, 1990
Categories: Enforcement ActionsNatonal Communications Network, Pepper Isenhart - Cease and Desist Order
Friday, February 16, 1990
Categories: Enforcement ActionsTelevision Sales Corporation, Mark Glaser, Chris Abbott, Alan D. Mason - Cease and Desist Order
Monday, February 12, 1990
Categories: Enforcement ActionsNational Communications Network, Pepper Isenhart - Cease and Desist Order
Wednesday, February 7, 1990
Categories: Enforcement ActionsJunction Financial Corp., Stanley Black - Cease and Desist Order
Thursday, February 1, 1990
Categories: Enforcement ActionsConstitutional Communications, Inc., Stanley Weiner - Cease and Desist Order
Tuesday, January 16, 1990
Categories: Enforcement Actions