Enforcement Actions
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 |
Date |
|---|---|---|
| Magma Foundation, a/k/a Magma Coin, a/k/a Magma, and their Officers, Directors, Agents, and Employees | Cease and Desist Order | Sep 20 2018 |
| Pension Rewards Platform, a/k/a Pension Rewards, and their Officers, Directors, Agents, and Employees | Cease and Desist Order | Sep 20 2018 |
| Life Cross Coin, a/k/a Lifecrosscoin GmbH, and its Officers, Directors, Agents, and Employees | Cease and Desist Order | Oct 10 2018 |
| Advertiza Holdings (Pty) Ltd, a South African registered company, and its Officers, Directors, Agents, and Employees | Cease and Desist Order | Oct 10 2018 |
| Crystal Token and its Officers, Directors, Agents, and Employees | Cease and Desist Order | Oct 10 2018 |
| CacheCoine Corp., and Harlen Lee Ellis | Cease and Desist Order, Notice of Civil Penalty, Notice of Right to Request Hearing | Oct 11 2018 |
| Union Bank Payment Coin, a/k/a UBPC, and its Officers, Directors, Agents, and Employees | Cease and Desist Order | Nov 19 2018 |
| LPL Financial LLC | Consent Order | Feb 9 2019 |
