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Karen Tyler

Commissioner
ND Securities Department
600 East Boulevard Avenue
State Capitol, 5th Floor
Bismarck, ND 58505-0510
Phone: (701)-328-2910
Toll Free: (800)-297-5124
Fax: (701)-328-2946
Grafton Office
701 W 6th Street, #312
Grafton, ND 58237
Phone: 701-352-4592

Enforcement Actions

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The North Dakota Securities Department has taken numerous actions against individuals and firms that have violated the North Dakota securities laws. The actions are searchable by the individual’s name, business name, type of action, or year. If you have further questions or require additional information related to a listed action, please contact our office.

Search Enforcement Actions in North Dakota

Name / DBA Enforcement Type Datesort ascending
LPL Financial LLC Consent Order Feb 9 2019
Union Bank Payment Coin, a/k/a UBPC, and its Officers, Directors, Agents, and Employees Cease and Desist Order Nov 19 2018
CacheCoine Corp., and Harlen Lee Ellis Cease and Desist Order, Notice of Civil Penalty, Notice of Right to Request Hearing Oct 11 2018
Life Cross Coin, a/k/a Lifecrosscoin GmbH, and its Officers, Directors, Agents, and Employees Cease and Desist Order Oct 10 2018
Advertiza Holdings (Pty) Ltd, a South African registered company, and its Officers, Directors, Agents, and Employees Cease and Desist Order Oct 10 2018
Crystal Token and its Officers, Directors, Agents, and Employees Cease and Desist Order Oct 10 2018
Pension Rewards Platform, a/k/a Pension Rewards, and their Officers, Directors, Agents, and Employees Cease and Desist Order Sep 20 2018
BitConnect LTD and BitConnect International PLC, United Kingdom limited companies, and their Officers, Directors, Agents, and Employees Cease and Desist Order Sep 20 2018
Magma Foundation, a/k/a Magma Coin, a/k/a Magma, and their Officers, Directors, Agents, and Employees Cease and Desist Order Sep 20 2018
FBD Ventures II, LLC, and Craig F. Wollenburg Cease and Desist Order, Order for Rescission, Notice of Right to Request Hearing, Order for Civil Penalty Jun 22 2018
Main Street Hospitality, LLC, and Robert Pagan Consent to Entry of Order, Consent Order May 14 2018
Main Street Hospitality, LLC, and Robert Pagan Cease and Desist Order, Order for Rescission, Notice of Right to Request Hearing, Order for Civil Penalty Mar 8 2018
H. Michael Hardy, RSE, Inc., and Hardy Management Group, LLC Consent Order Feb 26 2018
Elements Franchising, LLC and Christopher J. Palumbo Desist and Refrain Order, Notice of Right to Request Hearing, Order for Civil Penalty Dec 15 2017
Rash Enterprises, LLC, Taylor Rash, and Tom Doll Cease and Desist Order, Order for Rescission, Notice of Right to Request Hearing, Order for Civil Penalty Dec 15 2017

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Related Items

Publications

Investor Bill of Rights

When You Invest, You Have the Right to...

When Your Broker Calls, Take Notes!

A two-page form for investors to take notes when they talk with their broker. The form provides basic questions investors should ask their securities salesperson, checkoff boxes and ample space to take notes.

Forms

Complaint Form

If you believe you are a victim of securities fraud or have concerns about your investment account, you may file a complaint with the North Dakota Securities Department.  To file a complaint, complete the complaint form and submit by mail, fax or