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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
UBS Securities, LLC, UBS Financial Services Inc. Administrative Consent Order Apr 26 2010
Stifel, Nicolaus & Company, Incorporated , , Administrative Consent Order Apr 12 2010
Que-Corp Cease and Desist Order Mar 29 2010
James R. Bullis, Montgomery, Goff & Bullis, P.C. Consent to Entry of Order, Consent Order Nov 23 2009
JP Morgan Chase & Co. Administrative Consent Order Aug 17 2009
Merrill Lynch, Pierce, Fenner & Smith Incorporated Administrative Consent Order Jun 22 2009
RBC Capital Markets Corporation Administrative Consent Order Jun 22 2009
Banc of America Securities LLC, Banc of America Investment Services, Inc. Administrative Consent Order Jun 12 2009
Prosper Marketplace, Inc. Administrative Consent Order May 19 2009
Pelican Development, L.L.C. Consent Order May 14 2009
Life Partners Inc. Consent Order Apr 6 2009
Wachovia Securities, LLC, Wachovia Capital Markets, LLC Administrative Consent Order Apr 1 2009
Citigroup Global Markets Inc. Administrative Consent Order Apr 1 2009
Jammie N. Avila Consent Order Mar 23 2009
Nicholas Alexander Smirnow aka Nick Smirnow, doing business under the Ontario registered Business Name P-2-P NETWORK"" Cease and Desist Order Oct 16 2008

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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