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North Dakota: Legendary. Follow the trail of legends

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 descending
Edward Robert McGlynn May 10 1990
Scorac, Incorporated DBA Verifiable Resources, Claud Lavender, J. Wayne Greer, James Fulkerson, Sam Furo Cease and Desist Order Jun 12 1990
R. B. Marich & Co. Inc., Rudy Marich, Betty Jane Marich, Irving Hale, Robert L. Long Cease and Desist Order Sep 12 1990
R. B. Marich & Co. Inc., Rudy Marich, Betty Jane Marich, Irving Hale, Robert L. Long Sep 20 1990
LABCO/ARBCO Electronics Inc., Robert Widner, Byrd Widner, Edward Widner, Gary Amos Cease and Desist Order Sep 21 1990
Donex Resources, Inc., Jerry Woods, Ken Poindexter, Douglas Brown Cease and Desist Order Oct 18 1990
MCM Marketing, Inc., McElton Skaggs, Connie Mac Skaggs, Wayne Stone Cease and Desist Order Nov 9 1990
MCM Marketing, Inc., McElton Skaggs, Connie Mac Skaggs, Wayne Stone Cease and Desist Order Nov 9 1990
Mark Steven Eiken Nov 13 1990
FAX-9, Rene Boutin Cease and Desist Order Nov 26 1990
OPC and Associates Cease and Desist Order Jan 9 1991
The Connoisseur of California Cease and Desist Order Jan 10 1991
The National CLub Cease and Desist Order Apr 15 1991
RMC Enterprises, Ralph G. McCoy Cease and Desist Order May 16 1991
Mortgage Service Associates Cease and Desist Order Jun 6 1991

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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