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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
Robert H. Medhus, RTM, Ltd., Medhus Company, Associated Financial Services, Inc. Cease and Desist Order Jun 21 2012
First Call Ventures, LLC d/b/a First Call Movers, Thomas M. White, Please see VACATED ORDER Cease and Desist Order Apr 30 2012
Alan Bernhagen Consent Order, Consent to Entry of Order Mar 5 2012
Hartford Equity Sales Company Inc., Craig H. Miller Consent Order, Consent to Entry of Order Mar 5 2012
Piper Jaffray & Co., Brady Vollmers Consent Order, Consent to Entry of Order Feb 16 2012
Core Funding Group, L.P., Thomas F. Emmick Cease and Desist Order Feb 8 2012
E*TRADE SECURITIES, LLC Administrative Consent Order, Consent to Entry of Order Feb 1 2012
Piper Jaffray & Co., Brady Vollmers Order for and Notice of Civil Penalty Jan 13 2012
Associated Financial Services, Inc. Order to Revoke the Dealer Registration Jan 12 2012
Ronald Dean Bennett d/b/a Ron Bennett Commercial Real Estate Cease and Desist Order Dec 21 2011
Brent Kitzan d/b/a Kitzan & Associates Cease and Desist Order Dec 14 2011
Associated Financial Services, Inc. Order for Summary Suspension of the Dealer Registration Dec 6 2011
R. Seelaus & Co. Inc. Consent Order Nov 25 2011
Ross Owen Haugen Plea Agreement Nov 14 2011
Ross Owen Haugen Plea Agreement Nov 14 2011

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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