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North Dakota: Legendary. Follow the trail of legends

Karen Tyler

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
Quarter Call, Inc., Glenn Kendall, Tom C. Yost, Robert J. DiToro, Robert P. Carrigan, Dan S. Webb, J.R. Munoz, Premier Capital Investments Cease and Desist Order Oct 27 1994
Metropolitan Mortgage & Securities Co., Inc. Suspension Order Mar 28 1994
Dayle Maloney Order for Hearing Feb 22 1994
First National Services, Marc A. Rona Order for Hearing Feb 22 1994
Toluca Pacific Securities Corp. Order for Hearing Feb 16 1994
Becki Anderson Warren, James W. Warren, Lawrence W. Warren Feb 14 1994
Mid Valley Broadcasting, Inc., Charles Skip" Rutledge, Jack Brush" Pre-Hearing Order Feb 14 1994
Offerman & Company, Inc., The Offerman Group, Inc. Notice of Right to Request Hearing Feb 10 1994
Becki Anderson Warren, James W. Warren, Lawrence W. Warren Notice of Right to Request Hearing Feb 10 1994
First National Services Cease and Desist Order Feb 2 1994
Becki Anderson Warren, James W. Warren, Lawrence W. Warren Order for Hearing Feb 1 1994
Image Financial Network, Ltd., Joel Freezon Cease and Desist Order Jan 25 1994
Sanford D. Greenberg Jan 19 1994
Marathon Financial Program a/k/a Marathon Marketing, Jim Phipps, Randy Fraley, Gerald G. McCarthy Cease and Desist Order Dec 29 1993
Telecom/Mobile Wireless Cable Cease and Desist Order Dec 27 1993


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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.


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