News

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

Notice to North Dakota Funeral Establishments and Cemetery Associations

Friday, December 1, 2023

Investor Advisory: Affinity Fraud

Wednesday, November 29, 2023

Categories: Investor Alerts and Advisories

Learn how to spot red flags and protect yourself from affinity fraud.

Investor Advisory: "Other People's Money" Investment Scams

Tuesday, November 14, 2023

Categories: Investor Alerts and Advisories

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

Friday, October 20, 2023

Categories: Enforcement Actions

North Dakota Securities Commissioner Issues Order Implementing Investment Adviser Representative Continuing Education

Tuesday, October 10, 2023

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

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