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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

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 descending
Harvey Senn, Lutheran Brotherhood Securities Corporation Nov 7 1997
Temper of the Times Communications, Inc. Consent Order Dec 9 1997
Spectra Media, Inc., Affiliated Limited Liability Companies, Treasure Chest Television Affiliates, Century Financial Services, Windfall Financial Group, Management Services, Lyle Noorlun, Valerie Joy Williams, Chris Davis, Vicki Roberts Cease and Desist Order Jan 16 1998
Tradeway Securities Group, Inc. Consent Order Jan 28 1998
Magnum Petroleum, Jerry Nichter Cease and Desist Order Feb 3 1998
Prosper International League, Ltd., Prosper International, Ltd., Universal Marketing, Charles Miller Cease and Desist Order Feb 13 1998
The Piddler" International Downline Building Co-Op, The Sharing Funds Foundation, Eugene Henley, Frank Molonar, Ronald Readling" Cease and Desist Order Mar 11 1998
For Champions Only, The Winner's Circle, Tom Kincaid Cease and Desist Order Mar 24 1998
Global Prosperity Group, Global Leadership Council, Dave Lozier, Cindy Lozier, Elizabeth Riley, Dael A. Chapman, Shoshanna Szuch, Jeff Eichinger, Ione Weatherby Cease and Desist Order Apr 3 1998
The Gold Lead Pool , A-Z Systems, Alexei Zoubov, Julie Frahm, Richard Frahm Cease and Desist Order Apr 7 1998
Global Prosperity Group, Global Leadership Council, Paul Whealy Cease and Desist Order Apr 17 1998
Global Prosperity Group, The Global Leadership Council, Larry Gabel, John Hoffman, B. J. Bishop Cease and Desist Order Apr 20 1998
AgKota Holdings, Inc., International Joint Ventures Association, Preferred Home Loans, Founder's Club, Inc., Verlin Swartzendruber, Terry Nitschke, Duane Moos, Norm Nitschke, William Ebele Cease and Desist Order Apr 22 1998
HJB, Inc., Dakota Utilities, Inc., Gerold Busche, Craig Dallman, Ron Thompson, Lee Schobinger, Shirley Prigge, Loraine Zuber Cease and Desist Order May 7 1998
Tradestar Investments, Inc. Consent Order May 18 1998

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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