News
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
North Dakota Securities Department Joins Multiple States in $10 Million Settlement with Robinhood for Failing Investors
Wednesday, July 12, 2023
Categories: Enforcement ActionsRobinhood Financial LLC
Wednesday, July 12, 2023
Categories: Enforcement ActionsAdministrative Consent Order
North 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 Actions