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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
Recomm International Display, Atel Business Credit, Finova Capital Corporation Cease and Desist Order Apr 12 1996
Murchison Investment Bankers, Inc., Burll Dean Murchison, Richard Alan Murchison, James Roland Arnold, Lee Edward Burton Cease and Desist Order Mar 28 1996
Gruntal & Co., Inc., Robert Goldstein Order for Hearing Mar 21 1996
The Oxford Club, James Boxley Cooke Cease and Desist Order Mar 18 1996
Melvin C. Klindt, Berean Non-Profit Corporation Consent Order Jun 6 1995
The Principality of Hutt River Province Cease and Desist Order May 8 1995
Charleston Interactive Television Partners, Digital Interactive Associates, Inc., Carlo Anneke, an individual, Vikki Lucas, an individual Cease and Desist Order Apr 4 1995
M.D. Rothchilds Cease and Desist Order Mar 16 1995
Group Dynamics Downline Cease and Desist Order Mar 15 1995
Gold Unlimited, Inc., David Crowe, an individual, Martha Crowe, an individual Cease and Desist Order Feb 3 1995
Nation Wide Wireless Corporation a/k/a NationWide Wireless Corporation, Philip Caratozzolo, Greater Columbia Basin Wireless Cable, LLC Cease and Desist Order Jan 26 1995
Alhaji Jubril Umar Cease and Desist Order Jan 3 1995
Quarter Call, Inc., Glenn Kendall, Tom C. Yost, Robert J. DiToro, Robert P. Carrigan, Dan S. Webb, J.R. Munoz, Premier Capital Investments Cease and Desist Order Oct 27 1994
Metropolitan Mortgage & Securities Co., Inc. Suspension Order Mar 28 1994
First National Services, Marc A. Rona Order for Hearing Feb 22 1994

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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