nd.gov - The Official Portal for North Dakota State Government
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

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
CD Acquisition Group, LLC, David Mees Consent Order Mar 3 2007
A. G. Edwards & Sons, Inc. Consent Order Jan 23 2007
Piper Jaffray & Co. Consent Order Dec 4 2006
Wachovia Capital Markets, LLC Consent Order Dec 4 2006
Banker's Life and Casualty Company Consent Order Nov 17 2006
Philip Moshier Consent Agreement Nov 7 2006
Berthel Fisher and Company Financial Services, Inc., Timothy Hayden Consent Order Oct 31 2006
Ready Cash, Inc., Donald Gehrig Consent Agreement Oct 30 2006
James Wahl Consent Order Oct 30 2006
Lester Westgard Consent Agreement Oct 23 2006
ACAP Financial, Inc., Donald Fisher Consent Agreement Oct 10 2006
Lincoln Financial Advisors Corp. Consent Agreement Oct 9 2006
Investment Centers of America, Inc., Larry A. Fust Consent Agreement Sep 14 2006
Michael L. Puklich Consent Order Sep 11 2006
Capital Growth Financial, LLC, Ross O. Haugen Sep 6 2006

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