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North Dakota Joins $106M Multi-State Settlement with Vanguard over Big Tax Bills, Remediation to Investors

Friday, February 21, 2025

Categories: Enforcement Actions

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

Consent Order: Jamieson Capital Financial, LLC, and Jeremy L. Carlson

Friday, January 12, 2024

Categories: Enforcement Actions

Administrative Consent Order

Cease and Desist Order: Taylor Orris Bang

Friday, December 15, 2023

Categories: Enforcement Actions

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

Securities Commissioner orders Taylor Orris Bang to cease and desist from acting as an unregistered securities agent and selling unregistered securities in alleged $190 million Ponzi scheme

Friday, December 15, 2023

Categories: Enforcement Actions

Consent Order: ICON Investment Group, LLC, Leftfield Development, LLC, National Sports Opportunity Partners LLC, and Michael R. Kuntz

Tuesday, December 5, 2023

Categories: Enforcement Actions

Raymond James & Associates Inc., and Raymond James Financial Services Inc. - Consent Order

Friday, October 20, 2023

Categories: Enforcement Actions

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 Actions

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