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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

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...

NORTH DAKOTA SECURITIES DEPARTMENT RELEASES TOP INVESTOR THREATS

Investors Urged to Approach Unsolicited Offers with Caution

Securities Commissioner Orders Cease and Desist and Suspends ND Agent

Bismarck, ND -- North Dakota Securities Commissioner Karen Tyler has ordered Kevin D. Wanner, CRD# 1402627, a Bismarck securities and insurance agent, doing business under the trade name, Precision Financial Services, to...

ND Securities Commissioner Cautions Investors to Be Wary of 'The Next Big Thing' When it Comes to Investing

North Dakota Securities Commissioner, Karen Tyler, today issued an advisory reminding investors to be cautious when considering investing in three products recently making news: marijuana-related investments, binary...

Cease and Desist issued against Paul De Bastos and North Dakota Bakken Connection

North Dakota Securities Commissioner Karen Tyler has ordered Paul De Bastos and North Dakota Bakken Connection LLC (NDBC) to Cease and Desist from selling unregistered securities, acting as an unregistered broker-dealer...

NASAA Releases Annual Enforcement Report

Report Indicates Seniors Remain a Top Target for Cons

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