News | Securities Department, North Dakota

ND Securities Department Reminds Investors to Beware of Con Artists Looking to Profit from Fear and Uncertainty

Monday, March 2, 2020

DHA Financial, LLC - Consent Order & Consent to Entry of Order

Monday, March 2, 2020

Categories: Enforcement Actions

Top Investor Threats for 2020

Tuesday, December 24, 2019

Informed Investor Advisory: Affinity Fraud

Tuesday, November 12, 2019

Categories: Investor Alerts and Advisories

Affinity fraud is a fraudulent financial scheme that involves a scammer who is or appears to be part of a community or interest group. The scammer builds trust within the group, and exploits that trust to push fraudulent, non-existent, and too-good-to-be-true investments on other members of the group.

NASAA Releases 2019 Enforcement Report Based on 2018 Data

Wednesday, September 11, 2019

NASAA and SEC Explain Application of Securities Law to Opportunity Zone Investments

Monday, July 22, 2019

North Dakota Securities Department Now Accepting Online Filing for Unit Investment Trusts

Thursday, April 4, 2019

LPL Financial LLC - Consent Order

Saturday, February 9, 2019

Categories: Enforcement Actions

Securities Commissioner Issues Order Against Union Bank Payment Coin

Monday, November 19, 2018

Union Bank Payment Coin, a/k/a UBPC, and its Officers, Directors, Agents, and Employees - Cease and Desist Order

Monday, November 19, 2018

Categories: Enforcement Actions