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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
Grafton Office
701 W 6th Street, #312
Grafton, ND 58237
Phone: 701-352-4592

News

Recent News

Securities Commissioner Issues Cease and Desist Order Against Susan L. Welo

Bismarck, ND, July 21, 2017:  North Dakota Securities Commissioner Karen Tyler has ordered Susan L.

North Dakota Securities Department Finalizes Agreement with LPL Financial LLP, Regarding Sales of Non-traded Real Estate Investment Trusts

Feb 16, 2016 – North Dakota Securities Commissioner Karen Tyler signed a final Consent Order with LPL Financial LLP (LPL) in connection with an investigation of LPL’s failure to implement an adequate supervisory system...

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