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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

Jennifer Kurtz

Investigator
600 East Boulevard Avenue
State Capitol, 5th Floor
Bismarck, ND 58505-0510
Phone: (701) 328-2926
Toll Free: (800) 297-5124
Fax: (701) 328-0148
Email: jkurtz@nd.gov
Grafton Office
701 W 6th Street, #312
Grafton, ND 58237
Phone: 701-352-4592

Enforcement Actions

enforcement badge

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 descending
Constitutional Communications, Inc., Stanley Weiner Cease and Desist Order Jan 16 1990
Junction Financial Corp., Stanley Black Cease and Desist Order Feb 1 1990
National Communications Network, Pepper Isenhart Cease and Desist Order Feb 7 1990
Television Sales Corporation, Mark Glaser, Chris Abbott, Alan D. Mason Cease and Desist Order Feb 12 1990
Natonal Communications Network, Pepper Isenhart Cease and Desist Order Feb 16 1990
The Right Combination, Inc., Jim Silkwood Cease and Desist Order Mar 1 1990
The Right Combination, Inc., Jim Silkwood, Cease and Desist Order Mar 19 1990
American Gold Eagle, Inc., James H. Ridinger Cease and Desist Order Mar 19 1990
American Gold Eagle, Inc., James H. Ridinger, Cease and Desist Order Mar 19 1990
Carl's Furniture Barn, Carl H. Weisser Cease and Desist Order Mar 23 1990
Independent Financial, Eric Guichet, Gary Lowenthal Cease and Desist Order Mar 28 1990
Western Trading Group LTD, Sam Lessard, Richard Lindner, Mark Alexander Cease and Desist Order Mar 28 1990
Villa Petroleum Inc., Mack W. Knight III, Don Tatum, James L. Watts, C. W. Weaver Cease and Desist Order Apr 1 1990
EFJ Funds, Emanuel Fettig Cease and Desist Order Apr 20 1990
J. T. Moran & Co., Inc., Nicholas Mariniello, Peter Edward Bulger Cease and Desist Order Apr 30 1990

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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