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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 ascending
Susan L. Welo, Welo Wealth Management Cease and Desist Order, Notice of Right to Request Hearing Jul 21 2017
Kevin D. Wanner, Precision Financial Services, Questar Capital Corporation Order to Revoke the Agent Registration Dec 31 2015
Kevin D. Wanner, Precision Financial Services, Questar Capital Corporation Proposed Order to Revoke Agent Registration, Cease and Desist Order, Order for Summary Suspension of the Agent Registration, Notice of Right to Request Hearing Dec 4 2015
Halcyon Cabot Partners, Ltd. Order to Revoke the Dealer Registration Nov 24 2015
Halcyon Cabot Partners Order to Revoke the Dealer Registration, Order for Summary Suspension of the Dealer Registration, Notice of Right to Request Hearing Oct 12 2015
Paul De Bastos, North Dakota Bakken Connection, LLC Cease and Desist Order, Notice of Civil Penalty, Notice of Right to Request Hearing Jun 16 2015
Panda Trucking, LLC, Daniel E. Jenkins Consent to Entry of Order, Consent Order Jun 12 2015
North Dakota Developments, LLC, Robert Lee Gavin, Daniel John Hogan Cease and Desist Order, Notice of Right to Request Hearing May 5 2015
Panda Trucking, LLC, Daniel E. Jenkins Cease and Desist Order, Order for Rescission, Notice of Right to Request Hearing, Order for Civil Penalty Jan 26 2015
Dempsey Lord Smith, LLC Consent to Entry of Order, Consent Order Jan 20 2015
J. P. Morgan Securities, LLC Administrative Consent Order Aug 24 2014
Landolt Securities, Inc. Consent to Entry of Order, Consent Order Jul 28 2014
Social Voucher.com, Inc., Gerald C. Parker Consent to Entry of Order, Consent Order Jun 6 2014
ATEL Securities Corporation Consent to Entry of Order, Consent Order May 9 2014
Midwest Gold Company, LLC, Kirk Scott Grace Cease and Desist Order, Notice of Civil Penalty, Notice of Right to Request Hearing Mar 14 2014

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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