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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

enforcement badge

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
Raymond James & Associates, Inc., Raymond James Financial Services, Inc. Administrative Consent Order Sep 26 2011
A. J. Balfour & Group, Inc., Joseph L. Allen Cease and Desist Order Jul 15 2011
Global 1 Consulting, LLC, Joe Suarez Cease and Desist Order Jul 15 2011
Gibraltar Partners, Inc., Anthony John Johnson Cease and Desist Order May 23 2011
RAHFCO Management Group, LLC Stop Order Summarily Suspending the Offer and Sale May 4 2011
Bio-Sunn, Inc., Lewis A. Bauer Consent Order Apr 22 2011
Michael Barukhin Consent Agreement Nov 1 2010
Pop N Go, Inc., Melvin J. Wyman Cease and Desist Order Oct 18 2010
Jason P. Fettig Order Refusing Registration as an Agent Oct 18 2010
Bradley James Stroup Cease and Desist Order Oct 15 2010
David W. Torson Cease and Desist Order Sep 14 2010
RAHFCO Management Group, LLC Consent Order Jul 15 2010
Goldman, Sachs & Co. Administrative Consent Order Jun 22 2010
Blue Investments, LLC, Travis Richey Cease and Desist Order Jun 8 2010
Wells Fargo Investments, LLC Administrative Consent Order May 14 2010

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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