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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

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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
Jonathan Brewer, Cyprus Builders, Inc. Cease and Desist Order Aug 15 2008
Inland National Securities, Inc., David Theusch, Keith Theusch Consent Order Jul 31 2008
Morgan Stanley & Co. Incorporated Findings of Fact Jul 21 2008
Larry M. Atkins, Atkins Brokerage Services, Inc., Retirement Planning Concepts, Inc., Retirement Income Planning, Inc., Retirement Navigation, Inc. Order for Permanent Injunction Jul 17 2008
Rothschild Investment Corporation, Paul E. Geringer, Christian P. Geringer Consent Order Jun 16 2008
True Investments Inc., Ty Olstad Notice of Right to Request Hearing, Order for Civil Penalty Jun 9 2008
Dorothy K. Schlabsz Jun 3 2008
Larry M. Atkins, Atkins Brokerage Services, Inc., Retirement Planning Concepts, Inc., Retirement Income Planning, Inc., Retirement Navigation, Inc. Ex Parte Order for Preliminary Injunction Apr 22 2008
Andrew Schwandt Consent Order Mar 25 2008
Thomas W. Woodard dba Woodward Financial Mar 17 2008
Ashmore Family Foundation, a Minnesota Charitable Trust, Flint Ashmore, Monte R. Ashmore Consent Order Jan 24 2008
LAS International, Ltd., Neil Whittey, Syver Vinje (also see order on 6/19/07) Stipulation for Amendment Jan 11 2008
LAS International, Ltd., Neil Whittey, Syver Vinje Stipulation for Amendment of Consent Order Jan 11 2008
LAS International, Ltd., Neil Whittey, Syver Vinje Stipulation for Amendment of Consent Order Jan 11 2008
Ashmore Family Foundation, Flint Ashmore, Monte R. Ashmore Cease and Desist Order Oct 4 2007

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