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North Dakota: Legendary. Follow the trail of legends

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
Worldwide Treasure Bureau, Samuel E. Cox Cease and Desist Order Apr 14 1992
Trans-Global Trading Incorporated, Robert Bowin, Peter Greenwood Cease and Desist Order Dec 4 1991
Reach Exploration, Inc., Warren Wellborn, Paul Webb, David Dolph Cease and Desist Order Nov 20 1991
Equity Estates Galleries, Inc., Alex Pierce Cease and Desist Order Nov 20 1991
Montague-Weston Associates Limited, Wayne Ford, J. Petersen Cease and Desist Order Nov 15 1991
Productions Plus, Priscilla J. Deters, Charles Chuck" Crosby" Cease and Desist Order Nov 1 1991
Paragon International Communications, Inc., Buzz Gossage, C. B. Miller Cease and Desist Order Oct 10 1991
CanOdi International, Inc., Donald S. Dalman Cease and Desist Order Sep 23 1991
Financial Services Network, Paul Navestad Cease and Desist Order Sep 13 1991
International Exchange Board, Gene Young, Michael Simon Cease and Desist Order Aug 30 1991
East-West Marketing, Inc., Vicki Capri, Arnold Winter, Thurston McKenzie Cease and Desist Order Aug 30 1991
Imperial World Trade Exchange, Ryan Blake Cease and Desist Order Aug 30 1991
East-West Marketing, Inc., Vicki Capri, Arnold Winter, Thurston McKenzie Cease and Desist Order Aug 30 1991
Imperial World Trade Exchange, Ryan Blake Cease and Desist Order Aug 30 1991
Regency Collectibles, Inc., Bob Johnson, Jack Tischer Cease and Desist Order Aug 30 1991

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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