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Securities Commissioner orders Bradley J. Stroup and AMS Holdings to cease and desist from the sale of unregistered securities

Wednesday, July 19, 2023

Categories: Enforcement Actions

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

North Dakota Securities Department Joins Multiple States in $10 Million Settlement with Robinhood for Failing Investors

Wednesday, July 12, 2023

Categories: Enforcement Actions

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

Eleventh Grader Dominic Meier Places First in North Dakota in the SIFMA Foundation’s Fall 2022 National InvestWrite® Competition

Tuesday, May 23, 2023

Informed Investor Advisory: Account Takeover Fraud

Thursday, April 27, 2023

Categories: Investor Alerts and Advisories

Account takeover (ATO) fraud occurs when a bad actor gains unauthorized entry to an investor’s account, which enables them to conduct fraudulent financial transactions. They will often use compromised security information (e.g., logins and passwords) to access bank and brokerage accounts for the purpose of conducting illegal funds transfers, retail purchases, and trading activity.

Securities Commissioner orders Michael Kuntz, National Sports Opportunity Partners, Jeremy L. Carlson, and Jamieson Capital Financial to cease and desist from sale of over $25 million in unregistered securities and misappropriation of investor funds

Monday, April 24, 2023

Categories: Enforcement Actions

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