News

Investor Advisory: Celebrity Endorsements

Tuesday, August 15, 2023

Categories: Investor Alerts and Advisories

Influencers and celebrities may be paid to endorse an investment product, or their likeness may be used by scammers to create fake endorsements. Be wary of investment endorsements from celebrities or professional athletes on TV, radio, news sites or social media.


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

Thursday, July 27, 2023

Categories: Enforcement Actions

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


AMS Holdings LLC, and Bradley J. Stroup

Wednesday, July 19, 2023

Categories: Enforcement Actions

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


Robinhood Financial LLC

Wednesday, July 12, 2023

Categories: Enforcement Actions

Administrative Consent Order


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

Wednesday, June 14, 2023

Categories: Investor Alerts and Advisories

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

Thursday, May 25, 2023

Categories: Enforcement Actions

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


Cattle Company Ordered to Stop Selling Unregistered Securities

Thursday, May 25, 2023

Categories: Enforcement Actions