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Karen Tyler

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 ascending
CD Acquisition Corp., David Mees Order for Civil Penalty Sep 7 2005
Piper Jaffray & Co., Brady Vollmers Notice of Civil Penalty Aug 29 2005
Deutsche Bank Securities, Inc. Administrative Consent Order Aug 26 2005
A. G. Edwards & Sons, Inc., Daniel M. Schmidt Notice of Civil Penalty Aug 11 2005
Waddell & Reed, Inc. Consent Order Jul 29 2005
Pruco Securities, LLC Consent Order Jul 15 2005
Government Benefit Services, Glen W. Finley, Jr. Cease and Desist Order Jul 5 2005
Schwartz Investment Management Company, James Schwartz Consent Order Jun 3 2005
Dale F. Roehrich Notice of Civil Penalty Jun 3 2005
Assemblies of God Loan Fund Consent Agreement May 20 2005
Piper Jaffray & Co., Terry Millner Consent Order May 5 2005
Integrity Mutual Funds, Inc. f/k/a ND Holdings, Inc., ND Capital Inc., Robert E. Walstad Order to Vacate Notice of Civil Penalty May 5 2005
Capital Growth Financial, LLC Consent Order Apr 4 2005
Integrity Mutual Funds, Inc. f/k/a ND Holdings, Inc., ND Capital, Inc., Robert E. Walstad Undertaking Mar 16 2005
Third Ridge Capital, LP, Third Ridge Capital Partners, LLC, Edward Neugeboren, Keith Barksdale Agreement Feb 23 2005


Related Items


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.


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