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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
Raoul Brandt, Royal Crown Corporation, American Investment Services, Inc., Brandt Brokerage House Cease and Desist Order Nov 15 1996
Donald O. Atuegbu, Nigerian National Petroleum Corporation Cease and Desist Order Oct 21 1996
Vern Van Ornum Cease and Desist Order Oct 1 1996
Nigerian National Petroleum Corporation, Central Bank of Nigeria, Alhaji D. Bayero Cease and Desist Order Sep 30 1996
FACT Companies, Richard Furrer, Janelle Furrer, Ward Hughes, Joseph M. Malloy, James Herbst, Darreld Kartes Cease and Desist Order Sep 24 1996
Information Processing Office Cease and Desist Order Sep 4 1996
Murchison Investment Bankers, Inc., Burll Dean Murchison, Richard Alan Murchison, James Roland Arnold, Lee Edward Burton Jun 14 1996
Joseph F. Desanto, Joseph Roberts & Co., Inc. Revocation Order Jun 9 1996
A.G. Edwards & Sons, Inc., Cameron Erickson, Unitech Industries, Inc. Order for Hearing Jun 8 1996
Gary Swernik, Dana Bersch a/k/a Frank Bersch, Boulder, Inc. d/b/a Yu-Chu's, Ed Foo Yung's Inc. a/k/a Ed Foo Yung's Ltd. Notice of Right to Request Hearing May 31 1996
Gary Swernik, Dana Bersch a/k/a Frank Bersch, Boulder, Inc. d/b/a Yu-Chu's, Ed Foo Yung's Inc. a/k/a Ed Foo Yung's Ltd. Order for Hearing May 31 1996
Gruntal & Co., Inc. Consent Order May 23 1996
Premier Capital Investment, J.R. Munoz, Information Network Technology Partners III, Strategic Investor, Steven Harrell Cease and Desist Order May 15 1996
Dent Busters, Inc., Bill Tyson Cease and Desist Order May 13 1996
The Ellis Group, Frank Ellis, CEO Cease and Desist Order May 13 1996

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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