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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.

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Recent News

EPIC Management, LLC & Todd Berning - Stop Order Issued

Thursday, September 18, 2025 at 01:00 am

Categories: Enforcement Actions

North 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 $17 Million Multi-State Enforcement Settlement with Edward Jones

Monday, January 13, 2025

Categories: Enforcement Actions

Consent Order: Edward D. Jones & Co., L.P.

Monday, January 13, 2025

Categories: Enforcement Actions

Administrative Consent Order


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

Tuesday, March 12, 2024

Categories: Enforcement Actions

Administrative Consent Order