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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

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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
Investment Advisory Services, Thomas H. Marsden Consent Order Jan 20 2005
IRAX International, LLC, Financial Planning Services, Inc., Bruce Anderson, Rodney Kirschmann Cease and Desist Order Dec 21 2004
Impact Industries International, LLC, Financial Planning Services, Inc., Bruce Anderson, Rodney Kirschmann Cease and Desist Order Dec 21 2004
L. H. Ross & Co., Inc., Mintz & Fraade, P.C., Michael Assenza, Kelly Chance, Shannon Norris, Dean Baker Order to Vacate Cease and Desist Order Dec 21 2004
R. T. Jones Capital Equities, Inc., Frank S. Ladner Agreement Dec 16 2004
Huntleigh Securities Corporation Consent Agreement Dec 15 2004
Drew A. Likness Consent Order Dec 8 2004
Investment Advisory Services, Thomas H. Marsden Notice of Civil Penalty Nov 22 2004
Piper Jaffray & Co., Jason Millner Consent Order Oct 25 2004
Piper Jaffray & Co. Consent Order Oct 13 2004
Delta Trust Investments, Inc., Chad H. Carlson Consent Order Sep 24 2004
L. H. Ross & Co., Inc., Mintz & Fraade, P.C., Michael Assenza, Kelly Chance, Shannon Norris, Dean Baker Consent Order Sep 20 2004
Charles Archambault Sep 16 2004
Global eScience Corp., Virgil Hentz Cease and Desist Order Aug 30 2004
Ross Owen Haugen Order for Summary Suspension of the Investment Advisor Registration Aug 13 2004

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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