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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
Safe Keeping, Inc. Notice of Civil Penalty Dec 30 1998
Michael Lee Mathis Notice of Civil Penalty Dec 30 1998
Joseph K. Hilyard Notice of Civil Penalty Dec 30 1998
Creative Capital Management Corporation Consent Order Dec 28 1998
McDowell International, Incorporated of Washington, McDowell Industries, Northern Plains Agriculture, Incorporated, Agsources, Incorporated, Matthew McDowell Cease and Desist Order Dec 22 1998
State Farm VP Management Corp. Consent Order Dec 8 1998
Commonwealth Capital Group, Inc., Octet Communications Corp., Albert Faivush Consent Order Dec 4 1998
William R. Richard Consent Order Nov 16 1998
Synovus Securities, Inc. Consent Order Nov 5 1998
Lenny Bierstein Notice of Civil Penalty Nov 2 1998
Argent Securities, Inc. Proposed Order to Refuse Dealer Registration Nov 2 1998
Public Communications Services, Inc., Lon Finkelstein, Sharon Malkin Cease and Desist Order Sep 23 1998
Meternet Corporation, Venture Funding Group, Inc., Thomas R. Meinders Cease and Desist Order Aug 24 1998
Wash n Shine Inc., Venture Funding Group Inc., Thomas R. Meinders Cease and Desist Order Aug 24 1998
Tri State Innkeepers, Inc., Venture Funding Group, Inc., Thomas R. Meinders Cease and Desist Order Aug 24 1998

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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