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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
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
Reading Wireless Cable Cease and Desist Order Dec 27 1993
TransAmerica Wireless Systems, Inc., TransAmerica Wireless Associates, Rod Weaver Cease and Desist Order Dec 10 1993
Northeast Telecom, Inc., 3rd Mobile of Central New York Cease and Desist Order Dec 10 1993
Kingswood Associates, Inc., Mortek Corporation, Robert Button, Berry Mitchell Cease and Desist Order Oct 29 1993
Continental Wireless Cable Television Inc. Cease and Desist Order Oct 22 1993
John Sebastian Ragazzo, Geneva Companies Cease and Desist Order Oct 20 1993
Richard F. Pinnow, Liberty International Networking Company Cease and Desist Order Oct 4 1993

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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