The North Dakota Securities Department has taken numerous actions against individuals and firms that have violated the North Dakota securities laws. The actions are searchable by the individual’s name, business name, type of action, or year. If you have further questions or require additional information related to a listed action, please contact our office.
EPIC Management, LLC & Todd Berning - Stop Order Issued
Thursday, September 18, 2025 at 01:00 am
Categories: Enforcement ActionsNorth Dakota Insurance Commissioner Jon Godfread has issued a Stop Order against EPIC Management, LLC and its executive officer, Todd Berning. The order requires them to immediately stop offering or selling membership interests in the company. This action was taken to protect investors from potentially unlawful or unregistered securities activity. The Commissioner emphasized the importance of safeguarding consumers and maintaining trust in the state’s financial markets.
North Dakota Joins $106M Multi-State Settlement with Vanguard over Big Tax Bills, Remediation to Investors
Friday, February 21, 2025
Categories: Enforcement ActionsConsent Order: Edward D. Jones & Co., L.P.
Monday, January 13, 2025
Categories: Enforcement ActionsAdministrative Consent Order
North Dakota Joins $17 Million Multi-State Enforcement Settlement with Edward Jones
Monday, January 13, 2025
Categories: Enforcement ActionsConsent Order: Ireland & Sando, LLC, and Michael J. Rydell
Tuesday, March 12, 2024
Categories: Enforcement ActionsAdministrative Consent Order