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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
Morgan Asset Management, Inc., Morgan Keegan & Company, Inc. Consent to Entry of Order, Administrative Consent Order Feb 24 2014
UBS Financial Services, Inc. Consent to Entry of Order, Consent Order Oct 14 2013
RBC Capital Markets, LLC Consent to Entry of Order, Administrative Consent Order Sep 27 2013
Edwin Brent Lundgren Order Refusing Registration as an Agent Sep 20 2013
Edwin Brent Lundgren Order to Summarily Postpone the Approval of Respon, Notice of Civil Penalty, Order Refusing Registration as an Agent, Order for Rescission, Notice of Right to Request Hearing Aug 13 2013
Peachtree Partners, Ira J. Gaines Stop Order Summarily Suspending the Offer and Sale, Notice of Right to Request Hearing Jun 11 2013
Peachtree Partners, Ira J. Gaines Order to Suspend Securities Registration, Notice of Right to Request Hearing May 14 2013
Inland National Securities, Inc., David Theusch Consent Order Apr 16 2013
Roman Novak, Radoslav Novak, Inter Reef Ltd., Profitable Sunrise Cease and Desist Order, Notice of Civil Penalty, Order for Rescission, Notice of Right to Request Hearing Mar 14 2013
Impact Energy, LLC, Eugene L. McArthur, Jr., Mike Ladue, Lynne Hanson Consent Order Feb 26 2013
First Call Ventures, LLC d/b/a First Call Movers, Thomas M. White Order to Vacate, Cease and Desist Order Sep 25 2012
Caldwell International Securities Corporation Consent Order, Consent to Entry of Order Aug 27 2012
New Hi-Tech Oil & Gas Discoveries, LLC, Dennis W. Stutes Stop Order Summarily Suspending the Offer and Sale Aug 13 2012
Freedom USA Investing, LLC, James Young Cease and Desist Order Jul 31 2012
Scott L. Biggs Cease and Desist Order Jul 3 2012

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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