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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
U. S. Wireless, Mark Silberman, Harry Kaiser, Sheldon Ziskind Order to Cancel Hearing May 10 1996
U. S. Wireless, Mark Silberman, Harry Kaiser, Sheldon Ziskind Consent Order May 9 1996
Merrill Lynch, John D. McCroskey Notice of Right to Request Hearing May 6 1996
Merrill Lynch, John D. McCroskey Order for Hearing May 6 1996
Central Bank of Nigeria, Dr. O. Chimezie Cease and Desist Order Apr 30 1996
Z3 Capital Holding Corporation, Stella Bella Corporation USA, Jack Broberg, Mark Scialdone, Becky Pepper, Steven Zubkis, Marcus O'Neal Cease and Desist Order Apr 24 1996
Engineer Sunday Bari Saro Wiwa Cease and Desist Order Apr 18 1996
Trans-American Ostrich Traders, Inc. Cease and Desist Order Apr 15 1996
Eleventh Hour, Inc., American Consolidated Growth Corporation Cease and Desist Order Apr 12 1996
Recomm International Display, Atel Business Credit, Finova Capital Corporation Cease and Desist Order Apr 12 1996
Eleventh Hour, Inc., American Consolidated Growth Corporation Order for Hearing Apr 12 1996
Norfolk Securities Corp. Proposed Order to Refuse Agent Registration Apr 12 1996
Murchison Investment Bankers, Inc., Burll Dean Murchison, Richard Alan Murchison, James Roland Arnold, Lee Edward Burton Cease and Desist Order Mar 28 1996
Gruntal & Co., Inc., Robert Goldstein Order for Hearing Mar 21 1996
The Oxford Club, James Boxley Cooke Cease and Desist Order Mar 18 1996

Pages

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