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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

Emerging and Persistent Threats to Investors

Fraud spelled out with Scrabble letters

The North Dakota Securities Department, in conjunction with the North American Securities Administrators Association, has published its annual report identifying the financial products and practices that threaten to trap unwary investors.  While this year’s list includes many long-standing or persistent threats, it also features practices that attempt to exploit new and existing federal laws designed to promote job creation and stimulate economic recovery.

 Top Investor Threats

New Threats

Persistent Threats

Source: North American Securities Administrators Association Enforcement Section

Investors are reminded to independently verify any investment opportunity as well as the background of the person and company offering the investment.  The North Dakota Securities Department can provide detailed background information about those who sell securities or give investment advice, and about the products being offered.  Investors should insist on working only with licensed brokers and investment advisers in dealing with both traditional and alternative securities investments, and should quickly report any suspicion of investment fraud to the Department.