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
Wednesday, December 21, 2022 at 11:00 pmCategories: Enforcement Actions
Findings of Fact, Conclusions of Law, Cease and Desist Order, Notice of and Order for Rescission, Notice of and Order for Civil Penalties, Notice of Reservation of Commissioner's Authority to Amend Order, and Notice of Right to Request a Hearing
Friday, November 4, 2022Categories: Investor Alerts and Advisories
One of the best ways to build wealth is by saving and investing over a long period of time. The earlier you start, the easier it is for your money to grow. Opening your first investment account is a key step in beginning your investment journey. Here are some important investment tips from the North Dakota Securities Department to consider when opening any investment account.
Thursday, October 13, 2022Categories: Investor Alerts and Advisories
With advances in technology including more enhanced digital experiences that blur the line between the physical and digital worlds, the future has arrived in the form of the “metaverse.” A series of virtual worlds, the metaverse is the latest technology that offers new ways to interact and collaborate, and with that, new ways to perpetrate financial scams and investment fraud. This alert highlights some current metaverse investment scams and provides tips for investors to protect themselves.
Thursday, September 22, 2022Categories: Investor Alerts and Advisories
With stock market volatility dominating Main Street news headlines since early 2020, interest in investing has seen a dramatic increase. According to Bloomberg News, downloads of investment apps rose by 20% in 2021 from the year prior while actual time spent on these apps jumped by 90%. Most Millennials and Gen Z-ers are using social media sources for information about investing rather than relying on more traditional sources of investing information such as brokerage or investment advisory firms, or regulatory agencies.
Influencers have taken notice, and social media has become more saturated with financial content than ever before, leading to the rise of the financial influencer, or “finfluencer.” Viral videos claiming that an investment opportunity will “go to the moon this year!” have proliferated, as have social media postings promoting easy plans for paying off your house, car, or student loan debt using language such as “Five easy tricks to financial freedom.”
This investor advisory explains what financial influencers are, how they are compensated, what you should keep in mind when you are exposed to financial influencers’ content, red flags to watch out for, and resources available to you.
Thursday, August 4, 2022Categories: Investor Alerts and Advisories
Promissory notes can be appropriate investments for certain investors. However, promissory notes that are sold broadly to individual investors are often scams and are a leading source of investor complaints received by securities regulators.
Securities Commissioner Orders Michael Kuntz, National Sports Opportunity Partners, LLC, Icon Investment Group, LLC, and Leftfield Development, LLC to Cease and Desist from the Sale of Unregistered Promissory Notes and to Repay Investor Funds
Monday, August 1, 2022
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, 2022Categories: Enforcement Actions
Cease and Desist Order, Notice of Civil Penalties, Order for Rescission, and Notice of Right to Request a Hearing
Tuesday, July 26, 2022Categories: Investor Alerts and Advisories
A private placement is a securities offering that is not required by law to be registered with federal or state securities regulators. Private placements allow companies to sell stocks, bonds, or other securities to investors without completing the rigorous disclosures necessary in a registered offering.
Monday, July 18, 2022Categories: Enforcement Actions
Findings of Fact, Conclusions of Law, Order to Summarily Suspend Investment Adviser Registration, Notice of Proposed Order to Revoke Investment Adviser Registration, Cease and Desist Order, Notice of Civil Penalties, Order for Rescission, Notice of Reservation of Commissioner's Authority to Amend Order, and Notice of Right to Request a Hearing