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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
Internet Casino Sports Gaming, LLC, Denis M. Benson Cease and Desist Order Jun 8 1998
Dirk P. Hausauer Jun 9 1998
The Piddler" International Downline Building Co-op, The Sharing Funds Foundation, Eugene Henley" Cease and Desist Order Jun 23 1998
Foreign Currency International Cease and Desist Order Jun 26 1998
Buckhorn Financial Services, Inc., SafeKeeping, Inc. Cease and Desist Order Jul 1 1998
Papa Holdings, Inc., The Ponzu Companies, Inc., Jonathan C. Papa, Ramon C. Papa III, Thomas L. Anderson, David M. Beneakem, Kourosh Saroole, David J. Naughton Cease and Desist Order Jul 23 1998
American Investment Services, Inc., David R. Bjork Notice of Civil Penalty Jul 23 1998
Capital Management International, Ltd., Ronald Ratoff Cease and Desist Order Jul 24 1998
Meternet Corporation, Venture Funding Group, Inc., Thomas R. Meinders Cease and Desist Order Aug 24 1998
Wash n Shine Inc., Venture Funding Group Inc., Thomas R. Meinders Cease and Desist Order Aug 24 1998
Tri State Innkeepers, Inc., Venture Funding Group, Inc., Thomas R. Meinders Cease and Desist Order Aug 24 1998
Venture Funding Group, Inc., Thomas R. Meinders Cease and Desist Order Aug 24 1998
Future Tech Developments, Inc., Venture Funding Group, Inc., Thomas R. Meinders Cease and Desist Order Aug 24 1998
Upward Industries, Inc., Venture Funding Group, Inc., Thomas R. Meinders Cease and Desist Order Aug 24 1998
Public Communications Services, Inc., Lon Finkelstein, Sharon Malkin Cease and Desist Order Sep 23 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