nd.gov - The Official Portal for North Dakota State Government
North Dakota: Legendary. Follow the trail of legends

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

enforcement badge

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
Associated Financial Services, Inc. Order for Summary Suspension of the Dealer Registration Dec 6 2011
R. Seelaus & Co. Inc. Consent Order Nov 25 2011
Ross Owen Haugen Plea Agreement Nov 14 2011
Ross Owen Haugen Plea Agreement Nov 14 2011
Raymond James & Associates, Inc., Raymond James Financial Services, Inc. Administrative Consent Order Sep 26 2011
A. J. Balfour & Group, Inc., Joseph L. Allen Cease and Desist Order Jul 15 2011
Global 1 Consulting, LLC, Joe Suarez Cease and Desist Order Jul 15 2011
Gibraltar Partners, Inc., Anthony John Johnson Cease and Desist Order May 23 2011
RAHFCO Management Group, LLC Stop Order Summarily Suspending the Offer and Sale May 4 2011
Bio-Sunn, Inc., Lewis A. Bauer Consent Order Apr 22 2011
Michael Barukhin Consent Agreement Nov 1 2010
Pop N Go, Inc., Melvin J. Wyman Cease and Desist Order Oct 18 2010
Jason P. Fettig Order Refusing Registration as an Agent Oct 18 2010
Bradley James Stroup Cease and Desist Order Oct 15 2010
David W. Torson Cease and Desist Order Sep 14 2010


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