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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
Preferred Trust and Management, LTD, Mark Dostert Findings of Fact, Conclusions of Law Mar 9 2004
Preferred Trust and Management, LTD, Todd Haskins Findings of Fact, Conclusions of Law Mar 5 2004
Preferred Trust and Management, LTD, Ron Stafford Findings of Fact, Conclusions of Law Mar 5 2004
Preferred Trust and Management, LTD, Tony Kautt Findings of Fact, Conclusions of Law Mar 5 2004
Preferred Trust and Management, LTD, Leon Borud Findings of Fact, Conclusions of Law Mar 5 2004
West East Developments, Inc., Webster Crown Cease and Desist Order, Notice of Civil Penalty Mar 4 2004
EuroBond Fidelity, Ltd. Cease and Desist Order, Notice of Civil Penalty Mar 4 2004
Preferred Trust and Management, LTD., Randy Bryans Consent Order Mar 3 2004
D & M Capital, LLC, Associated Financial Services, Inc. Consent Agreement Mar 3 2004
American Dream Systems, Inc., Coupon Connection of America, Inc. Consent Order Feb 24 2004
T.L. Secrest Consent Order Feb 24 2004
Thomas V. Kozlowski Consent Order Feb 13 2004
Gregory A. Grossman Consent Order Feb 9 2004
ASKAR, Corp. Consent Order Feb 9 2004
Preferred Trust and Management, Ltd., Dennis Skarphol Consent Order Jan 27 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