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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
Low Priced Stock Wealth, David Johnson Cease and Desist Order Jan 20 1999
Bert Bjur Cease and Desist Order Jan 20 1999
Low Priced Stock Wealth, David Johnson Cease and Desist Order Jan 20 1999
Public Communication Services, Inc. Civil Penalty Jan 20 1999
Lon Finkelstein Civil Penalty Jan 20 1999
Jerry Nichter Civil Penalty Jan 20 1999
Sharon Malkin Notice of Civil Penalty Jan 20 1999
Magnum Petroleum, Inc. Notice of Civil Penalty Jan 20 1999
Papa Holdings, Inc., The Ponzu Companies, Inc., Jonathan C. Papa, Ramon C. Papa III, Thomas L. Anderson, David M. Beneake, Kourosh Saroole, David J. Naughton Consent Order Jan 18 1999
Pentad Securities, Inc., Warren B. True Consent Order Jan 4 1999
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
Steven L. Shook Civil Penalty Dec 30 1998
Buckhorn Financial Services, Inc Notice of Civil Penalty Dec 30 1998

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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